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Fsa Data Security Compliance

  1. 1. Ben oguntala, LLB, LLM Case study: FSA Data Security 2011 FSA Data security case study describes the various processes and procedures adapted by www.riesgoriskmanagement.com to achieve FSA Data Security compliance. For more information, please contact Ben.oguntala@riesgoriskmanagement.com www.riesgoriskmanagement.com Westminster, London 07812 039 867
  2. 2. INTRODUCTION FSA has 8 key requirements under its Data Security framework, each of the 8 key requirements are auditable and require demonstrating operational compliance. www.riesgoriskmanagement.com FSA compliance solution is a web based solution designed to address the key 8 requirements with a view to ensuring they are integrated into the customer’s operation there by ensuring inherent compliance. The framework is a centralised platform that consolidates the end to end resources required to complete the audit assessment. It captures data and reports on the level of compliance providing the management with first instance of knowledge on non compliance.
  3. 3. FSA DATA SECURITY The FSA Data Security framework covers the key areas where evidence need to exist of policies mapped to procedures as well as processes. Our solution lists all the relevant the policies and tracks how contemporary they as well as maps them to procedures and operational processes that give effect to the policies in the day to day operations.
  4. 4. GOVERNANCE For effective governance to exist, there must be an : 1. ISMS forum with active members 2. ISMS meeting dates 3. An agenda for the ISMS forum 4. A record of the minutes of the ISMS forum 5. A documentation of the meeting ISMS FORUM The tool handles the following: ISMS Members ISMS Meeting dates ISMS Agendas ISMS Minutes ISMS documents Click to see details 6 www.riesgoriskmanagement.com ||| info@riesgoriskmanagement.com
  5. 5. The policies and procedures mapping dashboard The organisation and its business units
  6. 6. MANAGING 3RD PARTY SUPPLIERS Managing 3rd party suppliers in managed via our extranet solution that extends the host organisation’s minimum compliance requirements and monitors compliance across the organisation.
  7. 7. INTERNAL AUDITORS AND COMPLIANCE MONITORING The diagram below depicts how the internal audit and compliance monitoring process is implemented to ensure that the requirements of the FSA are not only meet but sustainable. Non compliance reports from Audits
  8. 8. CONTACT DETAILS The solution is available in the form a web based solution that is installed and implemented on the customer network, it requires a web served that may also have an extranet instance. For purchase information: Ben Oguntala, LLB, LLM (Financial markets regulation) Ben.oguntala@riesgoriskmanagement.com Telephone - +44 781 039 867

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