GLBA Compliance Services | Gramm-Leach-Bliley Act

Tip

Secure Your Financial Institution’s Future

Transform your financial institution with comprehensive GLBA compliance while modernizing your technology infrastructure. Our Microsoft-integrated solutions provide the privacy protection and operational excellence that financial institutions need to protect customer information and maintain competitive advantage.

Protect customer financial information and achieve GLBA compliance with our comprehensive Microsoft-integrated solutions. Our expertise in financial privacy regulations and Microsoft technologies ensures your financial institution meets all safeguards rule requirements while maintaining operational efficiency.

Info

Microsoft for GLBA Compliance

Microsoft provides comprehensive tools for GLBA compliance:

  • Microsoft Purview - Customer data governance and protection
  • Microsoft Information Protection - Financial data classification and labeling
  • Azure Security Center - Continuous security monitoring for financial data
  • Microsoft 365 Defender - Threat protection for customer information
  • Native compliance with financial services regulations

GLBA Overview

The Gramm-Leach-Bliley Act requires financial institutions to protect customer nonpublic personal information (NPI) through comprehensive privacy and security safeguards. Our Microsoft-integrated approach ensures compliance with all three key GLBA provisions.

GLBA Key Requirements

Privacy Rule

  • Privacy notice delivery and content requirements
  • Opt-out provisions for information sharing
  • Customer notification of privacy policy changes
  • Annual privacy notice distribution

Safeguards Rule

  • Information security program development
  • Risk assessment and management procedures
  • Employee training and access controls
  • Vendor oversight and due diligence

Pretexting Provisions

  • Customer identity verification procedures
  • Pretexting prevention controls
  • Incident response for privacy breaches
  • Staff awareness training programs

Microsoft GLBA Compliance Solutions

Customer Data Protection

Microsoft Information Protection

  • Automatic classification of customer financial data
  • Data loss prevention for sensitive financial information
  • Encryption for customer data at rest and in transit
  • Rights management for customer information access

Azure Security and Compliance

  • Customer data residency controls
  • Access controls and identity management
  • Audit logging for customer data access
  • Compliance monitoring and reporting

Privacy Notice Management

Microsoft 365 Compliance Tools

  • Privacy notice template management
  • Customer communication tracking
  • Opt-out request processing automation
  • Privacy policy version control

Power Platform for Privacy Operations

  • Customer portal for privacy requests
  • Automated workflows for privacy notice delivery
  • Consent management tracking
  • Privacy preference center development

Safeguards Rule Implementation

Security Program Development

  • Risk assessment using Microsoft Secure Score
  • Security control implementation via Azure Policy
  • Continuous monitoring with Microsoft Sentinel
  • Incident response planning and automation

Employee Training and Access Controls

  • Azure AD role-based access controls
  • Privileged Identity Management for sensitive data access
  • Security awareness training integration
  • Access certification and review processes

GLBA Compliance Implementation Process

Phase 1: Assessment and Planning (Weeks 1-2)

  • Current state assessment of privacy and security controls
  • Gap analysis against GLBA requirements
  • Risk assessment of customer information handling
  • Implementation roadmap development

Phase 2: Privacy Program Implementation (Weeks 3-6)

  • Privacy notice development and deployment
  • Opt-out mechanism implementation
  • Customer communication system setup
  • Privacy policy management processes

Phase 3: Safeguards Implementation (Weeks 4-10)

  • Information security program development
  • Technical safeguards deployment via Microsoft tools
  • Administrative safeguards policy implementation
  • Physical safeguards assessment and improvement

Phase 4: Vendor Management (Weeks 8-12)

  • Third-party risk assessment program
  • Vendor due diligence procedures
  • Contract management for data protection clauses
  • Ongoing monitoring of vendor compliance

GLBA Technical Controls

Data Classification and Protection

Customer Information Categories:
  - Account Information: Banking, investment, loan details
  - Personal Information: SSN, address, contact details  
  - Transaction Information: Payment history, transfers
  - Credit Information: Credit reports, scores, applications

Access Controls Implementation

  • Least privilege access to customer information
  • Multi-factor authentication for all financial systems
  • Role-based access controls for customer data
  • Regular access reviews and certifications

Monitoring and Logging

  • Customer data access logging and monitoring
  • Suspicious activity detection and alerting
  • Privacy incident tracking and response
  • Compliance reporting and metrics

GLBA Compliance Service Tiers

Essential GLBA Package

  • Privacy notice development and deployment
  • Basic safeguards implementation
  • Employee training program
  • Quarterly compliance reviews

Competitive pricing for community financial institutions

Professional GLBA Package

  • Comprehensive privacy program management
  • Advanced safeguards with Microsoft security tools
  • Vendor risk management program
  • Monthly compliance monitoring

Scalable pricing for regional financial institutions

Enterprise GLBA Package

  • Strategic privacy and security program
  • Advanced threat protection for customer data
  • Dedicated compliance architect
  • Continuous monitoring and optimization

Enterprise pricing for large financial institutions

Industry-Specific GLBA Requirements

Banks and Credit Unions

  • Core banking system security controls
  • ATM and mobile banking privacy protections
  • Branch office physical safeguards
  • Customer portal privacy implementations

Investment Firms

  • Trading system customer data protection
  • Portfolio management privacy controls
  • Research data classification and protection
  • Client portal security implementations

Insurance Companies

  • Policy holder information protection
  • Claims processing privacy safeguards
  • Agent access controls and monitoring
  • Customer service privacy protections

GLBA Audit and Assessment

Internal Audit Support

  • Privacy program effectiveness assessment
  • Safeguards rule compliance validation
  • Vendor management review
  • Employee training effectiveness measurement

External Examination Preparation

  • Regulatory examination readiness
  • Documentation preparation and organization
  • Evidence collection and presentation
  • Remediation planning for findings

Continuous Monitoring

  • Real-time compliance monitoring
  • Risk indicator tracking and alerting
  • Performance metrics and reporting
  • Improvement planning and implementation

GLBA Training and Awareness

Staff Training Programs

  • GLBA overview and requirements
  • Customer information handling procedures
  • Privacy notice requirements and delivery
  • Incident response for privacy breaches

Management Training

  • Privacy program oversight responsibilities
  • Risk management for customer information
  • Vendor oversight requirements
  • Regulatory examination preparation

Specialized Training

  • IT security staff GLBA technical requirements
  • Customer service privacy protection procedures
  • Marketing privacy notice compliance
  • Legal regulatory requirement updates

Why Choose Our GLBA Services

🏆 Financial Services Expertise
  • Extensive financial services compliance experience
  • GLBA implementation across numerous financial institutions
  • Microsoft certified specialists in financial services
  • Regulatory examination support with strong success rate
💻 Microsoft Technology Leadership
  • Azure and Microsoft 365 financial services specialization
  • Advanced threat protection for financial institutions
  • Compliance automation using Microsoft tools
  • Cost-effective solutions leveraging existing Microsoft investments
📈 Proven Results
  • Strong privacy protection record for managed clients
  • High uptime for privacy and security systems
  • Significant reduction in compliance management costs
  • Efficient regulatory examination preparation and response
Tip

Achieve GLBA Compliance with Microsoft

Protect your customers’ financial information while leveraging Microsoft technologies for efficient, automated compliance management.

Schedule your GLBA assessment to identify gaps and develop a roadmap for comprehensive financial privacy compliance.

Enhance your GLBA program with complementary compliance frameworks: