Legal Seminar, Denver, CO

Audits and Compliance: SOC II

• Implementation and effectiveness of non-financial controls • Obtain from vendors supporting NMLS

Audits and Compliance: FBI CJIS

Criminal Justice Information Services Security Policy  v5.6 FBI standard for systems containing Criminal History Record Information (CHRI) 13 policy areas (similar to NIST controls) FBI audit every two years Independent audit every year Submit results to FBI