Service Provider Contract Facta Red Flags - PDF by jxy60427


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									ABOUT THE PROGRAM & SPEAKER                    2009 IT Security Exam Preparation:
This past year closed with some new
                                               Hot Spots and Regulatory Guidance
regulatory guidance, some still awaited
guidance, and some updates to old              AGENDA
guidance.                                      Remote Deposit Capture – Merchant and Consumer
                                               ■ Policy recommendations and requirements
Will examiner attention be averted from        ■ Customer Agreements and Contract recommendations
IT given the current banking crisis?           ■ Written internal procedures recommendations
Budget dollars and resources are tight         ■ Risk assessment guidance
and one can expect exam resources to be        ■ Security and control recommendations
directed to safety and soundness issues.
But don’t get complacent thinking that IT
                                               ■ Institution service oversight recommendations
and risk management will be shelved for        ■ Regulatory concerns
a year. There are still the GLBA regulation    ■ Pending regulatory guidance
and the FACTA Red Flags requirement,
and the ongoing focus on business              Branch Capture
continuity.                                    ■ Written internal procedures recommendations
                                               ■ Risk assessment guidance
Additionally, 2009 may also bring about
increased interest in ACH operations by
                                               ■ Security and control recommendations
the IT examiners. Finally, institutions that   ■ Regulatory concerns
are considering “green” initiatives should
expect increased risk mitigation efforts.      Mobile Banking
Despite everything else, you will still have   ■Risk assessment guidance
an IT exam.                                    ■Security and control recommendations
This seminar focuses on top examination
                                               ■Regulatory concerns
and audit findings in 2008 and potential
hot buttons for 2009. Bring your related       FACTA Red Flags (IT Focus) Guidance Requirements
policies and plans to review and discuss.      ■ Risk assessment guidance
Useful program outlines and templates          ■ Written program recommendations and review
that can be customized will be provided.       ■ Examination work program review
Susan Orr, CISA, CISM, CRP, of Susan
Orr Consulting, Ltd. is a leading financial    ACH
services expert with 14-years tenure as a      ■Areas of IT examiner focus
bank examiner. Orr held numerous lead          ■General overview of NACHA self audit requirements
positions at the FDIC and was also a
lead instructor for their technology           Vendor Management Regulatory Requirements
school. As an auditor and consultant,          ■ Written program recommendations
she performs IT audit and regulatory           ■ Service provider oversight review
reviews for financial institutions as well
as assists institutions in preparing for and
                                               ■ Due diligence review
responding to a regulatory examination.        ■ Examination procedures review

                                               Business Continuity Regulatory Requirements
SCHEDULE & LOCATIONS                           ■ Written business continuity plan
                                                  Business Impact Analysis overview

                                                  Risk assessment overview
Registration 8:30 a.m.
Program      9:00 a.m. to 4:00 p.m.
                                                  Procedures overview

                                                  Testing policy overview

Tuesday, February 17, 2009
                                               ■ Pandemic planning overview
Four Points by Sheraton,                       ■ Regulatory concerns
Fairview Heights
319 Fountains Parkway                          Gramm-Leach-Bliley Information Security Program
618-622-9500                                   ■ Overview of the written program requirements
                                               ■ Regulatory concerns and expectations
Wednesday, February 18, 2009
Eastland Suites, Bloomington                   OBJECTIVES
1801 Eastland Drive                            At the conclusion of this seminar, participants should be able to:
309-662-0000                                   ■ Describe regulatory expectations and security concerns relating to RDC,
                                                 branch capture, and mobile banking;
Friday, February 20, 2009                      ■ Identify the elements of a satisfactory business continuity plan and
Lewis University, Oak Brook                      vendor management program;
2122 York Road                                 ■ Review IT expectations for FACTA Red Flags; and
630-573-1740                                   ■ Prepare effectively for the next IT exam or audit.
                                             2009 IT Security Exam Preparation
                                                 February 17, Fairview Heights          February 18, Bloomington
Operations Officers, IT Audit and Risk          February 20, Oak Brook
Managers, and other IT and Operations
                                             Register online at or complete the form below.
                                             Registering five days prior to the program, fax form to 217-789-5410.

 GENERAL INFORMATION                         Name _________________________________________________________________

                                             Title __________________________________________________________________
Dress Code
Business casual attire is appropriate.
                                             E-mail _________________________________________________________________
Tax Deduction
All program expenses including fees,         (Required for registration confirmation)
travel, meals and lodging intended to
maintain and improve professional skills     Name _________________________________________________________________
are tax deductible subject to the
Internal Revenue Code.                       Title __________________________________________________________________

Certificate                                  E-mail _________________________________________________________________
Participant will receive a Certificate of
Completion.                                  (Required for registration confirmation)

The Institute of Certified Bankers™          Institution/Company_____________________________________________________
ICB is dedicated to promoting the
highest standards of performance and         Address ______________________________________________________________
ethics within the financial industry.
Approval is pending for 6.75 continuing      City, State, Zip_____________________________________________________________
education credits for the CSOP
designation.                                 Phone ______________________________ Fax ________________________________

Continuing Professional Education            Method of Payment (continental breakfast and lunch provided)
The IBA is recognized as a public               IBA Member     $225         Addl. Member      $195
accountant continuing professional
education sponsor by the Illinois              Nonmember       $385         Addl. Member       $355
Department of Financial and
Professional Regulation. Public                   Visa            MasterCard
accountants licensed in the state of
                                                  Check payable to Financial Education Services
Illinois will earn 6 hours of continuing
professional education credit for            Illinois Bankers Association, P. O. Box 19237, Springfield, IL 62794-9237
attending this seminar.
                                             Card Number ______________________________________ Exp. Date_____________
Cancellation Policy
A refund less $75 processing fee will                                             ____________________________________
                                             Cardholder’s Name ____________________
be furnished if cancelling within five
business days of the program. No                                                       _________________________________
                                             Cardholder’s Signature ____________________
refunds will be honored less than 24
hours prior to start of the program.         Billing Address (if different from above) ___________________________________________________
Substitutions are permissible.
                                             City / State / Zip____________________________
Satisfaction is Guaranteed
                                             Confirmation will be sent 7-10 business days in advance of the classes via e-mail.
If you are not satisfied that the program
was delivered as advertised, IBA will give   For more information contact Kevin Klug or Amy Ostermeier at 800-783-2265.
you credit toward another comparably
priced program. The IBA should be
notified in writing within seven days
after the program.

Are you interested in conducting
this program in your bank?
                                                   IBA ILLINOIS BANKERS ASSOCIATION
Contact Kevin Fitzgerald at                                Leading the way                           Register at

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