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Looking Ahead to 2021
By The Safe Systems Compliance Team  |  In From the Field

A Look Back at 2020 and a Look Ahead to 2021: A Regulatory Compliance Update

From SafeSystems.com/Safe-Systems-Blog Safe Systems recently published a two-part regulatory compliance blog series that looked back at 2020 and ahead to 2021. In Part 1, we explored how regulations related to the Pandemic dominated the compliance landscape early in 2020 forcing financial institutions to make adjustments to their procedures and practices on the fly. In Part […]

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Testing or Exercise?
By The Safe Systems Compliance Team  |  In Reading Between the Lines

Compliance Quick Bites – Tests vs. Exercises, and the Resiliency Factor

One of several changes implemented in the 2019 FFIEC BCM Examination Handbook is a subtle but important differentiation between a BCMP “test” and an “exercise”. I discussed some of the more material changes here, but we’re starting to see examiner scrutiny into not just if, but exactly what and how you’re testing. According to the […]

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Ask the Guru – Can We Apply Similar Controls to Satisfy Both GLBA and GDPR
By The Safe Systems Compliance Team  |  In Ask the Guru

Can We Apply Similar Controls to Satisfy Both GLBA and GDPR?

Hey Guru! Are the Gramm–Leach–Bliley Act (GLBA) and the General Data Protection Regulation (GDPR) similar enough to apply the same or equivalent set of layered controls? My understanding is that GDPR has placed a higher premium on the protection of a narrower definition of data. So, my question is more about whether FFIEC requirements for […]

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By Tom Hinkel  |  In From the Field

Using Technology to Drive Compliance

In the past year to year and a half, nearly all of the IT examination findings I’ve seen have in the broad category of “documentation”, or more specifically, lack thereof.  In other words, policies and procedures were satisfactory, but documentation was either non-existent, or insufficient, to demonstrate that actual practices followed policy and procedure. To […]

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