Laws, Regulations, and Guidance

Booklet: Management
Section: Appendix B: Laws, Regulations,and Guidance

Previous Subsection

Table of Contents

Next Subsection

External References

Congress

Federal Reserve Board

Federal Deposit Insurance Corporation

National Credit Union Administration

Office of the Comptroller of the Currency

Office of Thrift Supervision

Booklet	Type	Source	Title/Source	Date
Management	Website	Basel Committee on Banking Supervision	Sound Practices for the Management and Supervision of Operational Risk	February 2003
Management	Website	IT Governance Institute	COBIT®; 3rd Edition; Management Guidelines	July 2000
Management	Website	ISACA	Control Objectives for Enterprise IT Governance	N/A

Booklet	Type	Source	Title/Source	Date
Management	Laws	Congress	Home Owner’s Loan Act, · 12 U.S.C. § 1464(d)	N/A
Management	Laws	Congress	Bank Service Company Act, 12 U.S.C. § 1867(c)	N/A
Management	Laws	Congress	Bank Protection Act, 12 U.S.C. § 1882	N/A
Management	Laws	Congress	Gramm–Leach–Bliley Act,· 15 U.S.C. § 6801 and 6805(b)	N/A
Management	Laws	Congress	Fraud and Related Activity in Connection with Computers, · 18 U.S.C. § 1030	N/A

Booklet	Type	Source	Title/Source	Date
Management	Regulations	FRB	Interagency Guidelines Establishing Standards for Safeguarding Customer Information, Regulation H, 12 CFR § part 208, Appendix D-2
Management	Regulations	FRB	Protection of Customer Information, Regulation K, 12 CFR § parts 211.9 and 211.24 (i)
Management	Regulations	FRB	Interagency Guidelines Establishing Standards for Safeguarding Customer Information, Regulation Y, 12 CFR § part 225, Appendix F
Management	Guidance	FRB	Standards for Safeguarding Customer Information, SR 01-15	May 2001
Management	Guidance	FRB	Outsourcing Information and Transaction Processing, SR 00-4	February 2000
Management	Guidance	FRB	Assessment of Information Technology in the Risk-Focused Frameworks for the Supervision of Community Banks and Large Complex Banking Organizations, SR 98-9	April 1998

Booklet	Type	Source	Title/Source	Date
Management	Regulations	FDIC	Interagency Guidelines Establishing Standards for Safety and Soundness, 12 CFR § Part 364, Appendix A	N/A
Management	Regulations	FDIC	Interagency Guidelines Establishing Standards for Safeguarding Customer Information, 12 CFR § Part 364, Appendix B	N/A
Management	Guidance	FDIC	Bank Technology Bulletin on Outsourcing, FIL-50-2001	June 2001
Management	Guidance	FDIC	Required Notification for Compliance with the Bank Service Company Act, FIL-49-99	June 1999
Management	Guidance	FDIC	Computer Software Patch Management, FIL-43-2003	May 2003

Booklet	Type	Source	Title/Source	Date
Management	Regulations	NCUA	Federal Credit Union Incidental Powers Activities, 12 CFR Part 721	N/A
Management	Regulations	NCUA	Security Program, Report of Crime and Catastrophic Act, Bank Secrecy Act Compliance, and Appendix A – Guidelines for Safeguarding Member Information,12 CFR Part 748	N/A
Management	Regulations	NCUA	Privacy of Consumer Financial Information,12 CFR Part 716	N/A
Management	Regulations	NCUA	Requirements for Insurance, 12 CFR Part 741	N/A
Management	Regulations	NCUA	Advertising, 12 CFR Part 740	N/A
Management	Guidance	NCUA	E-Commerce Guide for Credit Unions, NCUA Letter to Credit Unions 02–CU–17	December 2002
Management	Guidance	NCUA	Due Diligence Over Third–Party Service Providers, NCUA Letter to Credit Unions 01–CU–20	November 2001

Booklet	Type	Source	Title/Source	Date
Management	Regulations	OCC	Interagency Guidelines Establishing Standards for Safety and Soundness, 12 CFR § Part 30, Appendix A	N/A
Management	Regulations	OCC	Interagency Guidelines Establishing Standards for Safeguarding Customer Information, 12 CFR § Part 30, Appendix B	N/A
Management	Guidance	OCC	Third-Party Relationships, OCC Bulletin 2001–47	November 2001
Management	Guidance	OCC	Third Party Risk, OCC Advisory Letter 2000-9	August 2000
Management	Guidance	OCC	Technology Risk Management, OCC Bulletin 98–3	February 1998

Booklet	Type	Source	Title/Source	Date
Management	Regulations	OTS	Interagency Guidelines Establishing Standards for Safety and Soundness, 12 CFR § Part 570, Appendix A	N/A
Management	Regulations	OTS	Interagency Guidelines Establishing Standards for Safeguarding Customer Information, 12 CFR § Part 570, Appendix B	N/A
Management	Guidance	OTS	Third Party Arrangements, Thrift Bulletin 82	March 2003
Management	Guidance	OTS	Technology Risk Controls, Regulatory Bulletin 32-21	January 2002
Management	Guidance	OTS	Management, Thrift Activities Handbook Section 300	January 2002
Management	Guidance	OTS	Technology Risk Controls, Thrift Activities Handbook Section 341	June 2003

Previous Subsection

Table of Contents

Next Subsection


Home	IT Booklets	Glossary	Resources	Presentations