Information Governance: GLBA from Pluralsight

This course will teach you about the Gramm-Leach-Billey Act and its implications on the financial industry. In addition to nonpublic personal information (NPI) protections, GLBA legislates financial institution framework and other items.

Whether you work for a bank, credit union, a mortgage processor, or other financial organizations, GLBA affects some or many aspects of your job. In this course, Information Governance: GLBA, you’ll learn about the Gramm-Leach-Billey Act (GLBA) and its impact on financial institution operations. First, you’ll gain an in-depth understanding of GLBA and learn about the requirements under the Financial Service Modernization Act of 1999. Next, you’ll delve into the compliance aspects of GLBA, including understanding the blurred lines between commercial banking and insurance/securities services. Finally, you'll understand what nonpublic personal information is and privacy protection requirements. When you’re finished with this course, you’ll understand GLBA and how it impacts your financial institution.

What's inside

Syllabus

Course Overview

What Is GLBA?

GLBA Compliance

Good to know

Know what's good

, what to watch for

, and possible dealbreakers

Suitable for individuals working in the banking sector (like banks, credit unions, and mortgage processors) and others in the broader financial services industry

Focuses on regulatory compliance within the financial sector, specifically on the United States' Gramm-Leach-Billey Act (GLBA) legislation

Provides a practical understanding of GLBA and its implications on day-to-day operations of financial institutions

Covers essential GLBA topics like regulatory compliance, nonpublic personal information (NPI) protection, and the blurring of lines between commercial banking, insurance, and securities services

Taught by Jo Harder, emphasizing practical implementation of GLBA within financial organizations

Activities

Be better prepared before your course. Deepen your understanding during and after it. Supplement your coursework and achieve mastery of the topics covered in Information Governance: GLBA with these activities:

Review: Financial Institutions, Investments, and Markets

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Help build a working knowledge of the complexities of the banking sector and financial institutions.

View Financial Markets and Institutions, Global... on Amazon

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Read the first three chapters of the book to gain an overview of financial institutions, markets, and instruments.
Take notes on the different types of financial institutions, their roles, and their importance in the financial system.
Review the different types of financial markets and instruments, and how they are used to raise capital.

Practice Questions on GLBA

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Reinforce understanding of the key concepts and requirements of the Gramm-Leach-Bliley Act.

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Review the course materials on GLBA and identify the key concepts.
Attempt practice questions that test your understanding of these concepts.
Review your answers and identify any areas where you need further clarification.

Tutorial on GLBA Compliance

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Provide a structured approach to understanding the complexities of GLBA compliance.

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Identify a reputable online tutorial on GLBA compliance.
Follow the tutorial step-by-step and take notes on the key requirements.
Complete any quizzes or exercises included in the tutorial to test your understanding.

Four other activities

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Network with GLBA Compliance Professionals

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Expand your knowledge and connections by interacting with professionals in the field of GLBA compliance.

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Identify industry events or online forums where GLBA compliance professionals gather.
Attend these events and introduce yourself to other professionals.
Discuss your experiences and insights, and exchange information.

Attend a GLBA Compliance Workshop

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Gain insights and practical advice from industry experts on GLBA compliance.

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Identify and register for a reputable GLBA compliance workshop.
Attend the workshop and actively participate in discussions and exercises.
Take notes and collect resources to reinforce your understanding.

Create a Summary of GLBA

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Solidify understanding of GLBA by summarizing its key provisions and implications.

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Review the course materials and identify the main points and key concepts of GLBA.
Summarize these points in a concise and organized manner, focusing on the purpose, scope, and impact of GLBA.
Proofread your summary and ensure that it is clear, accurate, and comprehensive.

Develop a Compliance Checklist

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Demonstrate a practical understanding of GLBA compliance by creating a checklist for your organization.

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Identify the key requirements and best practices for GLBA compliance.
Develop a checklist that outlines these requirements and provides guidance on how to meet them.
Review and refine the checklist to ensure that it is comprehensive and user-friendly.

Career center

Learners who complete Information Governance: GLBA will develop knowledge and skills that may be useful to these careers:

Compliance Analyst

Compliance Analysts work in financial institutions to ensure that the company's operations are compliant with all federal and state laws and regulations. They conduct risk assessments, create policies and procedures, investigate compliance issues, and provide training to employees. This course may be useful as it will enhance your understanding of GLBA and other compliance-related topics.

See salaries and explore the career path for Compliance Analyst

Risk Analyst

Risk Analysts assess and mitigate risks for financial institutions. They identify potential risks, develop risk management strategies, and implement policies and procedures to minimize potential losses. This course may be useful, as it provides an understanding of GLBA and its implications on the financial industry, which can be beneficial for Risk Analysts who need to stay up-to-date on regulatory developments.

See salaries and explore the career path for Risk Analyst

Investment Banker

Investment Bankers help companies raise capital by issuing and selling securities. They advise companies on mergers and acquisitions, and provide financial advice to institutional investors. This course may be useful, as it provides an overview of GLBA and its implications on the financial industry, which can be beneficial for Investment Bankers who need to stay up-to-date on regulatory developments.

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Portfolio Manager

Portfolio Managers are responsible for managing investment portfolios for clients. They conduct investment research, develop investment strategies, and make investment decisions. This course may be useful, as it provides an overview of GLBA and its implications on the financial industry, which can be beneficial for Portfolio Managers who need to stay up-to-date on regulatory developments.

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Financial Risk Manager

Financial Risk Managers are responsible for identifying, assessing, and mitigating financial risks faced by organizations. They analyze financial data, develop risk management strategies, and implement policies and procedures to minimize potential losses. This course may be helpful, as it will provide you with a comprehensive understanding of GLBA and its implications on the financial industry, enabling you to better manage financial risks.

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Paralegal

Paralegals assist lawyers in providing legal services to clients. They conduct legal research, prepare legal documents, and manage case files. This course may be useful as it will provide you with a foundational understanding of GLBA and its implications on the financial industry, which can be beneficial for Paralegals who work in this field.

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Commercial Banker

Financial institutions rely on Commercial Bankers to cultivate and manage relationships with commercial clients. They conduct financial analysis to design financial solutions, and analyze business proposals to determine creditworthiness. Information Governance: GLBA may be useful, as knowing about the Gramm-Leach-Billey Act and its implications on the financial industry can help Commercial Bankers operate more effectively within their banking institution.

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Insurance Agent

Insurance Agents are responsible for selling insurance policies to individuals and businesses. They provide information about different types of insurance products, assess clients' needs, and help them choose the best coverage options. This course may be useful, as it provides insights into GLBA and its impact on the financial industry, including insurance and securities services.

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Personal Financial Advisor

Personal Financial Advisors provide financial advice and planning services to individuals and families. They assess clients' financial needs, develop financial plans, and recommend investment strategies. This course may be useful, as it provides an overview of GLBA and its implications on the financial industry, which can be beneficial for Personal Financial Advisors who need to stay up-to-date on regulatory developments.

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Private Equity Analyst

Private Equity Analysts are responsible for evaluating and selecting private equity investment opportunities. They conduct financial analysis, develop investment recommendations, and monitor portfolio companies. This course may be useful, as it provides an overview of GLBA and its implications on the financial industry, which can be beneficial for Private Equity Analysts who need to stay up-to-date on regulatory developments.

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Wealth Manager

Wealth Managers provide financial advice and planning services to high-net-worth individuals and families. They develop investment strategies, manage investment portfolios, and provide tax planning advice. This course may be useful, as it provides an overview of GLBA and its implications on the financial industry, which can be beneficial for Wealth Managers who need to stay up-to-date on regulatory developments.

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Securities Analyst

Securities Analysts research and analyze securities to identify investment opportunities. They provide recommendations to clients on whether to buy, sell, or hold specific securities. This course may be useful, as it provides an overview of GLBA and its implications on the financial industry, which can be beneficial for Securities Analysts who need to stay up-to-date on regulatory developments.

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Trust Officer

Trust Officers are responsible for managing trusts and estates for clients. They provide investment advice, prepare tax returns, and manage trust assets. This course may be useful, as it provides an overview of GLBA and its implications on the financial industry, which can be beneficial for Trust Officers who need to stay up-to-date on regulatory developments.

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Financial Analyst

Financial Analysts provide valuable insights and recommendations on various financial matters to individuals, businesses, and organizations. They analyze financial data, conduct research, and develop financial models to identify investment opportunities, assess risks, and forecast financial performance. This course may be useful, as an in-depth understanding of GLBA and its implications on the financial industry can enhance your ability to make sound financial decisions.

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Mortgage Loan Officer

Mortgage Loan Officers assist individuals and families in obtaining mortgages to purchase homes. They evaluate loan applications, determine creditworthiness, and process loan documents. This course may be helpful, as it provides a clear understanding of GLBA and its implications on the financial industry, which can be beneficial for Mortgage Loan Officers who need to stay up-to-date on regulatory requirements.

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Information Governance

GLBA

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