Compliance Matrices

Secure File Transfer In the Era of Regulatory Compliance
by Keith Pasley, CISSP

Abstract

It is critical that the storage and transfer of information and data is reliable and secure. File transfer as a business process must provide end-to-end visibility, security, auditability and compliance management.

Increasing regulatory compliance mandates such as HIPAA, Sarbanes-Oxley, PCI DSS, BASEL II and J-SOX are compelling companies to establish a management strategy that includes the file transfer process, integrates into existing processes and minimizes cost of compliance to the bottom line.

A Secure Managed File Transfer approach can help companies meet the challenge of safely and reliably exchanging electronic business information.

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Ipswitch File Transfer enables compliance with many regulations worldwide. The matrices below accompany the Secure File Transfer in the era of Regulatory compliance whitepaper and can be used to quickly map WS_FTP product features to the regulations:

Health Insurance Portability and Accountability Act (HIPAA)

Preserve the privacy and security of personal health records. HIPAA requires that companies prevent unauthorized access, alteration, deletion and transmission of electronically stored and transmitted health information.

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Payment Card Industry Data Security Standard (PCI DSS)

Safeguard credit cardholder data and sensitive card authenticationinformation. PCI DSS provides a minimum security standard for protecting cardholder data - both in-transit and in-storage - to ensure that members, merchants and service providers maintain a consistent and secure cardholder data environment.

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Voluntary Product Accessibility Template (VPAT)

The Americans with Disabilities Act (ADA) standards for web and windows application design are enumerated in Section 508: "Standards for Electronic and Information Technology". The Voluntary Product Accessibility Template (VPAT) assists Federal contracting officials and other buyers in making preliminary assessments products that support accessibility.

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Sarbanes-Oxley Act (SOX)

Protect public company financial information. Businesses must ensure the integrity of data used in public financial statements from malicious or accidental harm. The Securities and Exchange Commission oversees SOX compliance and it holds corporate officers responsible for financial statement accuracy.

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J-SOX

Protect integrity of public company financial data. A Japanese draft legislation - soon to be law - similar to the objectives of the U.S.-based SOX that mandate use of a framework for internal controls over financial reporting systems (including the underlying information technology) by Japanese companies.

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BASEL II

Ensure the soundness and stability of the international banking system using risk management strategies. Information technology security is considered under the category of operational risk management in the BASEL II agreement.

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Gramm-Leach-Bliley Act (GLBA)

The Financial Modernization Act of 1999, also known as the "Gramm-Leach-Bliley Act" or GLB Act, includes provisions to protect consumers’ personal financial information held by financial institutions. There are three principal parts to the privacy requirements: the Financial Privacy Rule, Safeguards Rule and pretexting provisions.

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