2023 IT Examiner School

Regulatory Authority Examples: Depository Institutions

Regulators / Licensure FDIC, FRB, OCC, States, CFPB

Laws, Regulations, or Guidance Related to IT, InfoSec, Privacy, etc. 12 CFR 364, Appendix B; Section 501(b) of GLBA; FFIEC; State Laws/Regulations (e.g., Part 500, CCPA)

Type of Entity

Banks (state-member, national, state non-member, credit union)

Bank Holding Companies, Trust Companies, US Branches of FBOs Credit Unions (Federal or State)

FRB, States

Generally, the same as banks (above)

NCUA, States

12 CFR 748 (Appendix A & B)

Regulations & Guidance - FDIC Appendix B, including Supplement, to Part 364 of the FDIC Rules and Regulations – Interagency Guidelines Establishing Information Security Standards