Framework toolkit
Financial Cyber & Audit Regs (SOX 404, NYDFS 500 & GLBA) Toolkit
17 editable templates: 10 Word, 7 Excel. Each one is listed below with page 1 and its sections.
₹7,999 incl. GST
Review cart (0)- 17 files you can edit in Word and Excel
- UPI, card or netbanking through Razorpay
Three of the 17. Open one to see its full outline.
Word38 KB
GLBA Qualified Individual Policy
- 1. Purpose
- 2. Scope
- 3. Designation and Authority
- 4. Responsibilities
- + 4 more
Excel10 KB
Cloud Act Exposure Assessment
- CLOUD Act Exposure Assessment
Excel8 KB
GLBA Service Provider Oversight Tracker
- GLBA Service Provider Oversight
What you get
All 17 files in this toolkit
Registers, logs and trackers3
-
GLBA Service Provider Oversight Tracker
A tracker for overseeing the service providers that can access customer information, as the FTC Safeguards Rule requires: select providers that can safeguard the data…
-
SOX ITGC Evidence Testing TrackerA tracker for testing IT general controls and recording exceptions, supporting SOX compliance.
-
SOX ITGC MatrixAn IT general controls (ITGC) matrix for SOX: document the controls across the four ITGC domains (access to programs and data, program changes, program development,…
Assessments and checklists4
-
Cloud Act Exposure Assessment
An assessment register mapping, service by service, whether data in your AI stack is within reach of US legal process.
-
GLBA Safeguards Risk AssessmentA written risk assessment of risks to the security, confidentiality and integrity of customer information, as the FTC Safeguards Rule (16 CFR Part 314) requires of…
-
NYDFS 500 Gap AssessmentA gap assessment against the New York Department of Financial Services cybersecurity regulation, 23 NYCRR Part 500, for covered entities.
-
NYDFS 500 Risk AssessmentA risk assessment supporting NYDFS Part 500 (500.9), which must inform the cybersecurity program.
Plans, procedures and forms1
Policies and standards9
-
GLBA Qualified Individual Policy
✎ Name the qualified individual, their authority and resources, and their reporting line and cadence.
-
-
-
-
-
-
-
-
₹7,999 incl. GST
How the files fit together
A suggested order
Our suggestion, not a requirement of the standard or the law.
- 1
Find the gaps
Start with the assessment workbooks to see where you stand.
4 files: Cloud Act Exposure Assessment, GLBA Safeguards Risk Assessment, NYDFS 500 Gap Assessment, NYDFS 500 Risk Assessment
- 2
Plan the work and the response
Use the plans, procedures and forms to set owners, dates and the steps to follow.
1 file: NYDFS 500 Incident Reporting Procedure
- 3
Approve the policies
Edit the policies to match how you work, then get them approved.
9 files: GLBA Qualified Individual Policy, NYDFS 500 Ciso Policy, SOX ITGC Access Policy, SOX ITGC Backup Recovery Policy and more
- 4
Keep the records
Keep the registers and logs up to date as evidence for an audit or a review.
3 files: GLBA Service Provider Oversight Tracker, SOX ITGC Evidence Testing Tracker, SOX ITGC Matrix
Questions
Before you buy
What exactly do I get?
17 editable files (10 Word, 7 Excel). Every file is listed on this page with its file name, size and number of sections.
How are the files delivered?
Digitally, after your payment is confirmed: we email download links to the address you gave at checkout. Each link works for 2 hours; you can ask for a fresh one from My purchases. Nothing is shipped.
How do I pay?
Through Razorpay, by UPI, card or netbanking.
Is GST included?
Yes. The price includes GST. To get a GST invoice, email [email protected] with your billing name, address and GSTIN.
Are these official documents of the standard body or regulator?
No. They are templates supplied by CynorSense Solutions Pvt. Ltd. They are not issued or endorsed by any standard body or regulator, and they are not legal advice. Using them does not by itself make an organisation compliant or certified.
