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Regulatory and Legal Compliance
Financial Services Regulatory Assessment
Control assessments for GLBA and the FTC Safeguards Rule, NYDFS Part 500, FINRA, SEC cybersecurity rules, and SOX IT general controls.
Frameworks and standards
- GLBA and FTC Safeguards
- NYDFS Part 500
- SEC and FINRA
- SOX
What it covers
The engagement in detail
Control assessment against the technical requirements of the financial services regime, including the Gramm-Leach-Bliley Act and the Federal Trade Commission Safeguards Rule, New York Department of Financial Services Part 500, Financial Industry Regulatory Authority guidance and examination priorities, Securities and Exchange Commission cybersecurity disclosure and risk management rules, and Sarbanes-Oxley information technology general controls.
Who it is for
Designed for established organizations measuring and maturing an existing security program, and law firms, corporate legal departments, and the clients they advise.
What you receive
Deliverables from this engagement
- Regulatory control assessment
- Deficiency findings
- Remediation plan
- Certification support
Terms
How an engagement works
Every engagement is scoped individually and conducted under a nondisclosure agreement and a master services agreement, beginning with a scoping conversation and a written statement of work that defines scope, deliverables, and sequence. The four steps this practice follows are set out in full on the Regulatory and Legal Compliance page.
- Meet a regulation or supervisory expectation
- Established Enterprises
- Law Firms and Legal Departments
Regulatory and Legal Compliance
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Start with a confidential conversation
Thirty minutes on whether this is the right engagement for the question you have been asked, and what it would take to answer it.