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Financial Services Security Awareness

By the end, you'll understand the security obligations specific to financial services (GLBA, SOX, PCI, state laws), recognize the scams aimed disproportionately at this industry, know what fast incident reporting looks like for FFIEC-regulated entities, and understand your role in BSA/AML and customer data handling.

Banks, credit unions, asset managers, fintech, insurance — anyone subject to financial industry regulation · ~25 min · 5 modules

This course is part of the paid catalog. Purchase it individually, or unlock it with a membership that includes Tier 1 & 2 content.

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What's inside

01
Why financial services has the strictest regulatory stack
Financial services overlays multiple regulators (FFIEC, OCC, FDIC, SEC, FINRA, CFPB, state regulators), specific federal laws (GLBA, SOX, BSA), and recent cybersecurity-specific rules. Security obligations are uniquely strict.
~4 min
02
Customer financial data — what GLBA actually requires
GLBA's Safeguards Rule was substantially updated in 2021. Plain-English guide to what it requires of you as a workforce member.
~5 min
03
Heightened BEC, wire fraud, and BSA/AML overlap
Financial services teams face BEC and wire fraud at disproportionately high rates. BSA/AML obligations add a layer specific to suspicious activity. Modern practical patterns.
~5 min
04
Material incident disclosure and the SEC 4-day rule
Public financial services companies have specific disclosure obligations under SEC rules. Your role in fast incident reporting matters more here than in most industries.
~4 min
05
Course recap and the financial-services checklist
Everything you need to remember, in one printable checklist.
~3 min