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

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Summary of Regulatory Guidance on Electronic Banking and Information Technology Basel Committee on Banking Supervision: Available online at www.bis.org/publ Date Title URL 04-03 The New Basel Capital Accord: Third Consultative Paper www.bis.org/bcbs/bcbscp3.htm 12-01 The New Basel Capital Accord www.bis.org/publ/bcbsca.htm 10-00 Electronic Banking Group Initiatives and Papers www.bis.org/publ/bcbs76.htm 03-98 Risk Management for Electronic Banking and Electronic Money Activities Office of Federal Housing Enterprise Oversight www.bis.org/publ/bcbs35.htm Date Title URL 11-06 OFHEO Examination Guidance for Corporate Governance www.ofheo.gov/media/pdf/corpgovguidance11806.pdf 12-01 OFHEO Policy Guidance on Safety and Soundness www.ofheo.gov/media/pdf/pg01002.pdf Standards for Information 12-00 OFHEO Policy Guidance on Minimum Safety and www.ofheo.gov/media/pdf/pg00001.pdf Soundness Requirements Office of Thrift Supervision: Most available online at: www.ots.treas.gov. See also Electronic Banking website at www.ots. treas.gov/ebanking.html. Date Title URL 04-06 Examination Handbook Section 341, Information Technology Risks and Controls. This section includes examination guidance and procedures for smaller, less complex savings associations. It contains examination guidance and procedures for the Interagency Guidelines Establishing Information Security Standards (Security Guidelines). The Security Guidelines, effective July 1, 2001, implement section 501(b) of the Gramm- Leach-Bliley Act (GLB Act). Guidance: www.ots.treas.gov/docs/4/422120.pdf Examination Procedures: www.ots.treas.gov/docs/4/422120.pdf 0 Banking and Finance Sector-Specific Plan
Date Title URL 10-06 Updated Director’s Responsibility Guide and Guide to Management Reports www.ots.treas.gov/docs/2/25245.pdf Various Examination Handbook The comprehensive OTS Handbook that contains all safety and soundness and compliance examination guidance. This handbook addresses all major areas of concern in examinations of OTS-regulated savings associations. The handbook sections link to examination programs that contain examination objectives and procedures. 08-06 Frequently Asked Questions on Authentication in an Internet Banking Environment www.ots.treas.gov/da.cfm?catNumber=113&an=11 www.ots.treas.gov/docs/2/25242.pdf 06-06 Hurricane Katrina: Industry Lessons Learned www.ots.treas.gov/docs/2/25239.pdf 03-06 Advisory on Influenza Pandemic Preparedness www.ots.treas.gov/docs/2/25237.pdf 12-05 Compliance Guide for Information Security Standards 10-05 Authentication in an Internet Banking Environment 03-05 Response Programs for Unauthorized Access to Customer Information and Customer Notice: Final Guidance 08-03 Request for Comment on Guidance for Response Programs for Unauthorized Access to Customer Information and Customer Notice 10-04 Risk Management of Free and Open Source Software www.ots.treas.gov/docs/2/25231.pdf www.ots.treas.gov/docs/2/25228.pdf www.ots.treas.gov/docs/2/25214.pdf www.ots.treas.gov/docs/2/25179.pdf www.ots.treas.gov/docs/2/25207.pdf 09-04 Third Party Arrangements www.ots.treas.gov/docs/8/84272.pdf 09-04 ”Phishing” Customer Brochure www.ots.treas.gov/docs/2/25205.pdf 03-04 “Phishing” and Email Scams www.ots.treas.gov/docs/2/25193.pdf Appendix : Statutory Authorities
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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
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- The Treasury Department acquired
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work of the SSA and various public
Page 47: • In 2003, BITS and SIA drafted C
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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 94 and 95: Date Title URL 09-01 NCUA Letter to
Page 96 and 97: Date Title URL 05-04 Risk Managemen
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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