Financial Regulations

Technical Library | Support

Go to the table of contents

Go to the previous page

Go to the next page

View or print as PDF

Predefined Policies and Classifiers > Data Loss Prevention policies > Regulations, Compliance and Standards > Financial Regulations

Financial Regulations

Predefined Policies and Classifiers | Data Security Solutions | Version 7.8.x

Websense Data Security includes policies for the finance industry:

FSA SYSC 13.7.7

Model Audit Rule (MAR)

Policy for promoting regulatory compliance with the requirements of the Basel Committee on Banking Supervision. The policy contains rules to detect financial data like account numbers, passwords, or magnetic credit card tracks. Additional rules detect combinations of Personally Identifiable Information (PII) like credit cards and identification numbers. The rules for this policy are:

EU Finance: 10 digit Account Numbers

EU Finance: 5-8 digit Account Numbers

EU Finance: 9 digit Account Numbers

EU Finance: CCN and PIN number

EU Finance: CCN: with National ID

EU Finance: Credit Card Magnetic Strips

EU Finance: Password dissemination for Web traffic

EU Finance: Suspected passwords

The Fair Credit Reporting Act ("FCRA") is a United States federal law. The Act is designed to help ensure that consumer reporting agencies act fairly, impartially, and with respect for the consumer's right to privacy when preparing consumer reports on individuals. The policy comprises rules for detection of personal financial information. The rules for this policy are:

FCRA: CCN: All Credit Cards

FCRA: Credit Card Magnetic Strips

FCRA: DL and Account

FCRA: DL and Personal Finance Terms

FCRA: Name and Personal Finance Terms

FCRA: SSN and Account

FCRA: SSN and Personal Finance Terms

The Federal Financial Institutions Examination Council (FFIEC) is a formal interagency body empowered to prescribe uniform principles, standards, and report forms for the Federal examination of financial institutions. The policy contains rules to detect financial data like account numbers, passwords, or magnetic credit card tracks. Additional rules detect combinations of Personally Identifiable Information (PII) like credit cards, social security numbers, driver license numbers, and private financial information. The rules for this policy are:

FFIEC: All Credit Card Numbers

FFIEC: Driver License

FFIEC: PIN numbers

FFIEC: Zip codes with Financial Terms

FFIEC: Suspected password

FFIEC: Credit Card Magnetic Strips

FFIEC: Password dissemination for Web traffic

FFIEC: 10 Digit Account Numbers

FFIEC: 9 Digit Account Numbers

FFIEC: 5-8 Digit Account Numbers

FFIEC: TIFF format file type

FSA SYSC 13.7.7

The Financial Services Authority (FSA) publishes a set of rules in the Financial Services Handbook. The Senior Management Arrangements, Systems and Controls (SYSC) is one of the subsections of this handbook. Chapter 13.7.7 requires firm to establish and maintain appropriate systems and controls to manage its information security risks regarding the confidentiality, integrity, availability, and accountability of its information. This policy detects confidential and financial documents. The rules for this policy are:

FSA SYSC 13.7.7: Confidential Documents

FSA SYSC 13.7.7: Tables with financial information

FSA SYSC 13.7.7: Network Information and Security

FSA SYSC 13.7.7: Proprietary in Document

The Financial Modernization Act of 1999, also known as the "Gramm-Leach-Bliley Act" or GLB Act, is a US Federal regulation that includes provisions to protect consumers' personal financial information held by financial institutions. The policy contains rules to detect accounts, credit cards, and social security numbers. The policy comprises rules for detection of personal financial information and other personal information. The rules for this policy are:

GLBA: CCN (Default)

GLBA: CCN (Narrow)

GLBA: Name and SSN

GLBA: SSN and Personal Finance Terms

GLBA: SSN and Account

GLBA: RTN/ABA (wide)

GLBA: RTN/ABA (narrow)

GLBA: RTN/ABA (default)

GLBA: Name and 10 digit account numbers

GLBA: Name and 9 digit account numbers

GLBA: Name and 5-8 digit account numbers

GLBA: Name and Personal Finance Terms

GLBA: Name and Sensitive Disease or drug

GLBA: Names (Narrow) and Sensitive Disease or drug

GLBA: Name and Contact Info

Model Audit Rule (MAR)

The National Association of Insurance Commissioners (NAIC) Model Audit Rule (MAR) requires the assessment of internal controls over financial reporting. The policy comprises rules for detection of documents containing financial reports and, in particular, of actuary reports. The rules for this policy are:

MAR: Actuary Reports

MAR: Financial Investment Information in Excel

MAR: Form 10K - Non Std fiscal year

MAR: Form 10Q - Non Std fiscal year

The Israeli NBT directive requires Israeli Banks and agencies to protect customers privacy by ensuring the integrity and confidentiality of data. The policy detects credit card information, account numbers, International Bank accounts number (Israeli IBAN) and buy and sell instructions in Hebrew. The rules for this policy are:

NBT 357: All Credit Cards (Default)

NBT 357: All Credit Cards (Wide)

NBT 357: IsraCard (Default)

NBT 357: IsraCard (Wide)

NBT 357: Account Number

NBT 357: Buy and Sell instructions

NBT 357: Israeli IBAN (default)

NBT 357: Israeli IBAN (wide)

Regulates communications with investors and mandates approval of communications and research reports before being released as well as the retention and archiving of such communications. The rule for this policy is:

Policy for detection of SEC forms 10-K and 10-Q, based on calendar fiscal year.

The rule s for this policy are:

SEC: Form 10K - Non Std fiscal year

SEC: Form 10Q - Non Std fiscal year

Go to the table of contents

Go to the previous page

Go to the next page

View or print as PDF

Predefined Policies and Classifiers > Data Loss Prevention policies > Regulations, Compliance and Standards > Financial Regulations

Copyright 2016 Forcepoint LLC. All rights reserved.