Regulatory Compliance

Looking for a partner who understands compliance?

CSI is a trusted advisor in the regtech industry, providing regulatory compliance software and services to thousands of customers worldwide. Our solutions help keep your business compliant with today’s top federal regulations, including OFAC, USA PATRIOT Act, FinCEN, Gramm-Leach-Bliley Act, BSA AML and many more.

Audit and Review Services

Safeguarding your customers’ and members’ personal financial information is not only part of being a responsible business—but also it’s a federal requirement under GLBA and FFIEC compliance rules. Our information security review and IT audit services help protect your organization’s sensitive information and lower your risk against the rising threat of cyberattacks.

Features

Comprehensive Information Security Review
Comprehensive Information Security Review
BSA/AML Compliance Audit
BSA/AML Compliance Audit
Firewall Review Service
Firewall Review Service
Compliance with GLBA, FFIEC, PCI, HIPAA and Other Regulatory Standards
Compliance with GLBA, FFIEC, PCI, HIPAA and Other Regulatory Standards

Information Security Review

Safeguard your organization’s data and meet the requirements associated with GLBA, the FFIEC IT Handbook, PCI, HIPAA and other regulatory guidelines through CSI’s information security review. Our information security service provides a comprehensive assessment of your entire organization’s information security program by identifying weaknesses in your administrative, physical and technical controls. Our service:

  • Reviews your IT and information security-related policies and procedures
  • Evaluates your network and application configurations
  • Assesses controls over physical and environmental concerns
  • Develops a report outlining weaknesses and recommendations
  • Provides Q&As with application staff
  • Includes an internal vulnerability and patch management assessment
  • Conducts a social engineering exercise for further security

IT Audit

Further enhance your organization’s compliance posture with CSI’s IT audit. Built upon the foundation of our information security review, our IT audit delves deeper into IT controls and various operational areas to improve your overall information security program.

BSA/AML Audit

The BSA requires traditional banks and credit unions, as well as non-bank financial institutions, to perform anti-money laundering checks and keep specific records of events that could signal the occurrence of money laundering. Non-compliance to AML laws can result in substantial fines and other disciplinary actions. Relieve the burden of BSA/AML regulations and create a strong anti-money laundering compliance program with CSI’s BSA/AML audit service. Our BSA/AML audit provides:

  • A comprehensive evaluation focused on risk-based testing
  • Reviews of related documents, policies and procedures
  • An objective report detailing any violations, findings or areas of weakness
  • A tailored corrective action plan to help strengthen and enhance your overall BSA and AML program

Firewall Review

Since the FFIEC released its Cybersecurity Assessment Tool, there has been an increased level of scrutiny on financial institutions and other businesses to ensure appropriate firewall rules are in place. And now, financial institutions and other businesses are required to audit or verify firewall rules at least quarterly. CSI’s firewall audit helps ensure you meet and exceed regulator demands on firewall rules and security. Our team of regulatory compliance experts manually performs a customized firewall security audit, helping you to:

  • Review the VPN configuration
  • Appraise management interfaces and access authentication
  • Evaluate Access Control Lists (ACLs) configuration and usage
  • Improve firewall access rules and security

CSI listens to us, and they are a good partner. They are also quick to respond and work with us to get issues solved.

Jeff May
Banterra Bank, President

Get In Touch

Are you looking for the edge to outperform the competition? CSI is a full-service technology and compliance partner.

Let’s Talk