Banking and Finance Sector-Specific Plan - U.S. Department of ...

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Date Title URL 09-01 NCUA Letter to Credit Unions 01-CU-09: Identity Theft and Pretext Calling 08-01 NCUA Letter to Credit Unions 01-CU-11: Electronic Data Security Overview 08-01 NCUA Letter to Credit Unions 01-CU-10: Authentication in an Electronic Banking Environment 03-01 NCUA Regulatory Alert 01-RA-03: Electronic Signatures in Global and National Commerce Act (E-Sign Act) 02-01 NCUA Letter to Credit Unions 01-CU-02: Privacy of Consumer Financial In-formation www.ncua.gov/letters/2001/01-CU-09.pdf www.ncua.gov/letters/2001/01-CU-11.pdf www.ncua.gov/letters/2001/01-CU-10.pdf www.ncua.gov/reg_alerts/Prior2003/01-RA-03.pdf www.ncua.gov/letters/2001/01-CU-02.pdf 12-02 e-Commerce Guide for Credit Unions www.ncua.gov/letters/2002/02-CU-17.htm 12-00 NCUA Letter to Credit Unions 00-CU-11: Risk Management of Outsourced Technology Services (with Enclosure) 10-00 NCUA Letter to Credit Unions 00-CU-07: NCUA’s Information Systems and Technology Examination Program www.ncua.gov/letters/2002/02-CU-17EnclosureECommerc eGuide.pdf www.ncua.gov/letters/2000/00-CU-11.pdf www.ncua.gov/letters/2000/00-CU-07.pdf 07-00 Suspicious Activity Report www.ncua.gov/GuidesManuals/sar/sar.html Privacy of Consumer Financial Information: Small Credit Union Compliance Guide 06-00 NCUA Letter to Credit Unions 00-CU-04: Suspicious Activity Reporting (see section on “Computer Intrusion”) 05-00 NCUA Letter to Credit Unions 00-CU-02: Identity Theft Prevention www.ncua.gov/ConsumerInformation/consumer_privacy/ smallcucomplianceguide.pdf www.ncua.gov/letters/2000/00-CU-04.pdf www.ncua.gov/letters/2000/00-CU-02.pdf 6 Banking and Finance Sector-Specific Plan
Date Title URL 02-99 NCUA Regulatory Alert 99-RA-3: Pretext Phone Calling by Account Information Brokers 07-98 NCUA Regulatory Alert 9-RA-4: Interagency Guidance on Electronic Financial Services and Consumer Compliance 04-97 NCUA Letter to Credit Unions 97–CU–5: Interagency Statement on Retail On-Line PC Banking 01-97 NCUA Letter to Credit Unions 97-CU-1: Automated Response System Controls (January 1997) 09-89 NCUA Letter to Credit Unions 109: Information Processing Issues Office of the Comptroller of the Currency www.ncua.gov/reg_alerts/Prior2003/99-RA-3.pdf www.ncua.gov/reg_alerts/Prior2003/98-ra-4.pdf www.ncua.gov/letters/1997/97-CU-5.html www.ncua.gov/letters/1997/97-CU-1.html www.ncua.gov/letters/Prior1996/e-let109.html Date Title URL 09-06 Customer Authentication and Internet Banking Alert www.occ.treas.gov/ftp/alert/2006-50.html 09-06 Automated Clearing House Activities: Risk Management Guidance www.occ.treas.gov/ftp/bulletin/2006-39.pdf 06-06 Disaster Planning: Hurricane Katrina: Lessons Learned www.occ.treas.gov/ftp/bulletin/2006-26.doc 03-06 Influenza Pandemic Preparedness www.occ.treas.gov/ftp/bulletin/2006-12.doc 10-05 Authentication in an Internet Banking Environment www.occ.treas.gov/netbank/ebguide.htm 07/05 Threats from Fraudulent Bank Web Sites: Risk Mitigation and Response Guidance for Web Site Spoofing Incidents 4/05 Response Programs for Unauthorized Access to Customer Information and Customer Notice: Final Guidance Appendix : Statutory Authorities www.occ.treas.gov/ftp/bulletin/2005-24.doc www.occ.treas.gov/ftp/bulletin/2005-13.doc
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Banking and Finance Critical Infras
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ii Banking and Finance Sector-Speci
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iv 2.2.5 Collecting Asset Data 25 2
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Executive Summary The Banking and F
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3. Assess Risks Risk assessments ar
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Introduction According to Homeland
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and technological systems. These ex
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in various organized markets, from
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Figure 1-1: FBIIC Members FBIIC Mem
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• The NCUA regulates Federally ch
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• Identify voluntary efforts wher
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Continuity in the Financial Service
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The Banking and Finance Sector has
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system. All of the systemically cri
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linked to payments occurring in sys
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3. Assess Risks Both the public and
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the FBIIC agencies identify financi
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4. Prioritize Infrastructure In the
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5. Develop and Implement Protective
Page 43 and 44: - The Treasury Department acquired
Page 45 and 46: work of the SSA and various public
Page 47: • In 2003, BITS and SIA drafted C
Page 50 and 51: 6.1.1 Developing Sector-Specific Me
Page 52 and 53: updates on the sector metrics in su
Page 54 and 55: 6 Implementation Action Milestone S
Page 56 and 57: • Understanding and Avoiding of t
Page 59 and 60: 8. Manage and Coordinate SSA Respon
Page 61: information. This information-shari
Page 64 and 65: NFA National Futures Association NI
Page 66 and 67: Federal Deposit Insurance Corporati
Page 68 and 69: Office of Comptroller of the Curren
Page 70 and 71: Department of the Treasury U.S. Cod
Page 72 and 73: State Banking Law/Statute Maryland
Page 74 and 75: National Association of Insurance C
Page 76 and 77: Code & Regulations State URL §§ 5
Page 78 and 79: Code & Regulations State URL §§ 3
Page 80 and 81: State Statute Nebraska NE ST §§ 8
Page 82 and 83: Date Title URL 08-05 Information Te
Page 84 and 85: Date Title URL 08-01 Examination Pr
Page 86 and 87: Federal Financial Institution Exami
Page 88 and 89: Date Title URL 03-31 FFIEC Retail P
Page 90 and 91: Date Title URL 12-05 Interagency Gu
Page 92 and 93: National Credit Union Administratio
Page 96 and 97: Date Title URL 05-04 Risk Managemen
Page 98 and 99: Summary of Regulatory Guidance on E
Page 100 and 101: Date Title URL 04-03 Interagency Gu
Page 103 and 104: Appendix 3: FSSCC Research and Deve
Page 105 and 106: 1. Common operating picture archite
Page 107 and 108: members are very active. One of the
Page 109 and 110: K Financial information tracing is
Page 111: SCC R&D Challenges vs. NIPP R&D The
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