e-learning and reference solutions for the global finance professional

Financial Privacy

Library of 6 courses covering financial privacy regulations in the US


The themes of this product are:

  • Requirements under the Privacy Regulation
  • Exceptions to the Requirements
  • Privacy Policies and Measures such as Examination Procedures and Security Guidelines
For information about our other e-learning solutions see Course Catalog

The Gramm-Leach-Bliley Act requires financial institutions such as banks & savings associations, credit unions, mortgage & trust companies, insurance companies, collection agencies and others to disclose privacy policies, limit instances in which consumer information can be shared with non-affiliated third parties and provide consumers an opportunity to protect some of their personal financial information from being shared. The Federal Financial Institutions Examination Council (FFIEC) has introduced a privacy regulation implementing the Gramm-Leach-Bliley Act which imposes certain requirements on its member institutions. This product covers various technicalities of privacy regulation giving relevant and convincing examples.

After completing this course, you will be conversant with:
  • Financial privacy regulation in the United States
  • Persons/institutions required to comply, persons protected and the type of information protected under the regulation
  • Restrictions on sharing of information
  • Privacy notices
  • Exceptions to the privacy notice requirements
  • Privacy examination procedures
  • Security guidelines
  • Managerial responsibilities vis-à-vis requirements of privacy regulation

Target Audience
Every professional involved in the global financial services industry (as a provider, user, regulator or advisor of product/services, marketplace/exchange) would benefit from KESDEE’s innovative solutions.

  • Supervisory Agencies

  • Central Banks

  • Financial Institutions

  • Commercial Banks

  • Investment Banks

  • Housing Societies/Thrifts

  • Mutual Funds

  • Brokerage Houses

  • Stock Exchanges

  • Derivatives Exchanges

  • Insurance Companies

  • Multinational Corporations

  • Accountancy Firms

  • Consultancy Firms

  • Law Firms

  • Rating Agencies

  • Multi-lateral Financial Institutions

  • Others

  • Course Level and Number of Courses
    Intermediate Level. Library of 6 Courses

    Instructional Method
    Dynamic, Interactive e-learning

    Recommended Background
    Familiarity with basic transaction in banks

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      Library of 6 Courses

    Financial Privacy

    Time taken to complete each Course: Two - Three hours

    1. Financial Privacy Regulation

    • Before You Begin…
    • Gramm Leach Bliley Act
    • Who must Comply?
    • Who is Protected?
    • What Information is Protected?
    • Restrictions on Information Sharing

    2. Privacy Notices and their Content

    • Before You Begin…
    • Introduction
    • The Three Notices
    • Content of Notice
    • Opt-out Notices
    • Modes of Delivery of Notices

    3. Exceptions and Reuse of Information

    • Before You Begin…
    • Introduction
    • Joint Agreements
    • Processing and Servicing
    • Other Exceptions
    • Reuse of Information

    4. Exam Procedures

    • Before You Begin…
    • Introduction
    • Examination Process
    • Module 1
    • Modules 2 and 3
    • Modules 4 and 5
    • Module 6

    5. Security Guidelines

    • Before You Begin…
    • Introduction
    • Purpose of the Guidelines
    • Applicability and Objectives
    • Responsibilities of the Board
    • Management Responsibilities

    6. Section 501(b) of the GLB Act and the Management

    • Before You Begin…
    • Introduction
    • Risk Control Practices
    • Training Programs
    • Monitoring Information Security
    • Reporting Requirements
    • Outsourcing


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