Financial Services

Investment Banks, Broker/Dealers, Mutual Funds, Investment Advisors

Regulations vs. Penalties vs. Challenges

	Banking	Financial	Healthcare	Legal
Regulations	Sarbanes Oxley SB1386 in CA NASD 3010/3110 Gramm-Leach-Bliley PIPEDA (Canada) EU Data Protection Act FDIC Security Guidance	SEC 17-a3/4 NASD 3010/3110 Sarbanes Oxley Gramm-Leach-Bliley PIPEDA (Canada) EU Data Protection Act	HIPAA Sarbanes Oxley Gramm-Leach-Bliley PIPEDA (Canada) EU Data Protection Act	Sarbanes Oxley PIPEDA (Canada)
Penalties	Imprisonment Fines Litigation Public Discontent	Imprisonment Massive Fines Litigation Public Discontent	Fines Imprisonment PublicDiscontent Probation Terms	Imprisonment Public Discontent
Challenges	Email/IM Retention Document Retention Corporate Governance Information Security	Email/IM Retention Document Retention Corporate Governance	e-PHI Retention Electronic Security	Document Retention Litigation Preparedness

	Energy	Life Sciences	US Public Sector
Regulations	FERC/SOX/SEC Federal Power Act PIPEDA (Canada) NASD (If Trading)	21 CFR Part 11 Sarbanes Oxley Gramm-Leach-Bliley EU Data Protection Act	Freedom of Information Act 5015.2STD
Penalties	Fines Probation Terms Litigation Public Discontent	Fines Imprisonment Public Discontent Litigation	Fines Litigation Public Discontent
Challenges	Email/IM Retention Document Retention Corporate Governance	Email & IM retention Corporate Governance Process Auditing	Email & IM retention & auditing Internal controls and process checks