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Reports, Public Comments, Articles, Seminars: |
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| Date |
Event/Report |
Location |
Contact |
8-27-07 |
Intellectual Property Supervisory Guidances and Enforcement Cases from the FDIC, FFIEC, FINCEN, FTC, FRB, NCUA, OCC, and OTS on Preventing, Monitoring and Reporting Corporate Identity Theft, an Unfair and Deceptive Act per FTC ACT |
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Task Force |
7-23-07 |
Information Security Governance Framework: 7 Key Questions for Audit Committees |
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Task Force |
7-23-07 |
Operational Risks: Information Security Governance: Ohio, Indiana and Michigan Banks and Credit Unions |
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Task Force |
7-23-07 |
Information Security Governance Framework (pdf file: 2.6 mb) a 45 page narrative of the Information Security Governance Framework and each of its Matrixes based on federal regulations of GLBA, FDICIA Section 112, FTC ACT, Sarbanes-Oxley for financial firms regulated by the FDIC, FRB, NCUA, OCC and OTS. |
ISGovernance.com |
Task Force |
5-29-07 |
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Task Force |
3-27-07 |
Resolution on Identity Theft, Phishing and Consumer Confidence |
Transatlantic Consumer Dialogue (TACD) |
Task Force |
3-6-07 |
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Task Force |
3-5-07 |
IP Governance Operational Risk Management, Quantification and Rating Model (Updated 3-5-07, 2 mb) |
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Task Force |
3-1-07 |
Article: "Perfect Storm", Published by Complinet |
Complinet |
Task Force |
10-26-06 |
Missouri Bankers Association - Bank Legal Issues Conference |
Columbia, Mo. |
Patrick J. Whalen, Beck Miller |
9-18-06 |
Public Comments by the Task Force for "Identity Theft Red Flags" |
FDIC Public Comments |
Task Force |
4-17-06 |
Public Comments by the Task Force for the FTC's Technology Hearings |
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Task Force | | Regulatory Fines | | Date | Country | Fine | | 2-15-07 | UK | FSA fines Capital One £175,000 for PPI sales failures. The Financial Services Authority has today fined Capital One Bank (Europe) Plc (Capital One) £175,000 for failing to have adequate systems and controls for selling Payment Protection Insurance (PPI) insurance and for failing to treat its customers fairly. | | 2-14-07 | UK | FSA fines Nationwide £980,000 for information security lapses. The Financial Services Authority (FSA) has today fined Nationwide Building Society (Nationwide) £980,000 for failing to have effective systems and controls to manage its information security risks. The failings came to light following the theft of a laptop from a Nationwide employee's home last year. | | 1-30-07 | UK | FSA fines GE Capital Bank: The Financial Services Authority has today fined GE Capital Bank Ltd (GECB) £610,000 for failing to have adequate systems and controls for selling insurance which includes Payment Protection Insurance (PPI) and for failing to treat its customers fairly. | | 1-18-07 | UK | FSA fines W Deb MVL Plc (formerly Williams de Broe Plc) £560,000 for breaches of FSA principles. | | 12-20-06 | UK | FSA fines home shopping company £270,000 for PPI selling failures | | 10-26-06 | UK | FSA fines loan broker £455,000 for PPI selling failures | | 3-16-06 | UK | FSA fines Capita Financial Administrators Limited £300,000 in first anti-fraud controls case. The FSA found that CFA had inadequately considered the risks posed by fraud and had not maintained effective systems and controls to mitigate the risk of fraud. This is the first time the FSA has fined a firm for failures of anti-fraud systems and controls. | | | | | | | USA | FTC: Privacy Initiatives: Unfairness and Deception | | | USA | FTC: Financial Privacy: Safeguards Rule (Gramm-Leach-Bliley Act) | | 1-19-05 | USA | FRB Vs Huntington Bancshares, Inc., relating to its corporate governance, internal audit, risk management, and financial and regulatory reporting; FDICIA Section 112 | | | USA | FINCEN: Enforcement Actions |
| | International Studies on Information Security Risks: Identity Theft & Phishing | | | Proposed & Pending Regulations on Identity Theft, Privacy, Operational Risks | |
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