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Service Provider Contract Facta Red Flags document sample
Service Provider Contract Facta Red Flags document sample
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 WHO SHOULD ATTEND 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 ilbanker.com or complete the form below. Staff 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 ilbanker.com 800-783-2265.
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