Sheltered Harbor - Case Studies

SIGNATURE BANK'S JOURNEY TO VAULTING WHILE WORKING TOWARDS DATA PROTECTED CERTIFICATION

CASE STUDY

SIGNATURE BANK'S JOURNEY TO VAULTING WHILE WORKING TOWARDS DATA PROTECTED CERTIFICATION TOWARDS CYBER RESILIENCE

Institution: Signature
Headquarters: Rosemont, IL
Size (range): 1.7 billion in assets
Accounts Protected (deposit, brokerage etc): deposit – Commercial banking
Time from Program Inception to Data Vaulting: 12-18 Months
Signature Bank’s Certification is pending the Certification of Jack Henry Associates (JHA)
Lead in organization: Filippo Meli, VP of Internal Audit and Joe Dugo, VP IT/Cybersecurity
Team composition and headcount: Executives, Internal Audit, Head of IT, Deposit Initiatives

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CALIFORNIA BANK OF COMMERCE: CHARTING A RESILIENT FUTURE

CASE STUDY

CALIFORNIA BANK OF COMMERCE: CHARTING A RESILIENT FUTURE

Institution: California Bank of Commerce
Headquarters: Del Mar, California
Size (range): 4.3 Billion Dollars, Mid Sized Commercial bank
Accounts Protected (deposit, brokerage etc): Commercial Bank
Time from Program Inception to Certification: 9 months
Team Composition and headcount: 4 2 IS and 2 Operations
Service provider: FIS

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RIVER CITY BANK'S DATA VAULTING JOURNEY TOWARDS SHELTERED HARBOR CERTIFICATION

CASE STUDY

RIVER CITY BANK'S DATA VAULTING JOURNEY TOWARDS SHELTERED HARBOR CERTIFICATION

Institution: River City Bank
Headquarters: Sacramento
Size (range): $4.3 Billion
Accounts Protected (deposit, brokerage etc): Deposit
Time from Program Inception to Certification: 6 months
Lead in organization: Matt Huber, SVP Director of Operations, River City Bank
Team composition and headcount: Banking, Security, Data Governance, Banking Operations, Vendor Management, Senior Leadership, Technology Services, Project Managers

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FIRST BANK: THE EARLY ADOPTER

CASE STUDY

FIRST BANK: THE EARLY ADOPTER

Institution: First Bank
Headquarters : Denver, CO
Assets : $19 billion
Accounts Protected: Deposit
Time from program inception to data vaulting: 12 months
Team: Albert Kendrick - First Bank CIO , Brian Dennehy - Senior Director IT , Travis Knox - Senior Security Analyst , Jon Schow - Senior System Administrator.

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CHARTING A SECURE FUTURE: SHELTERED HARBOR AND FIS GUIDE MIDSIZED BANK TOWARDS CYBER RESILIENCE

CASE STUDY

CHARTING A SECURE FUTURE: SHELTERED HARBOR AND FIS GUIDE MIDSIZED BANK TOWARDS CYBER RESILIENCE

Institution: Mid-sized community bank
Size (range): 2.2 billion – mid sized community bank, 150 employees
Accounts Protected: deposit accounts
Time from Program Inception to Certification: 8 months
Team composition and headcount: Operations Manager, existing IT team – 6 people
Service Provider: FIS Global

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Assets	Fee	Join Sheltered Harbor
Assets	Fee	Onlne		Download
<$100MM	$250		OR
>$100M	$500		OR
>$500M	$1,000		OR
>$1B	$2,500		OR
>$5B	$5,000		OR
>$10B	$10,000		OR
>$50B	$25,000		OR
>$250B	$50,000		OR

Client Assets*		Clearing Clients	Fee	Join Sheltered Harbor
Client Assets*		Clearing Clients	Fee	Online		Download
<$100MM	and	<1 (self clearer)	$2,500		OR
<$10B	and	<50	$5000		OR
<$10B	and	50 - 100	$10,000		OR
$10B - $200B	and	<20	$10,000		OR
$10B - $200B	and	>20	$25,000		OR
>$200B	or	>100	$25,000		OR

AUM or Plan Assets	Fee	Join Sheltered Harbor
AUM or Plan Assets	Fee	Online		Download
<$20B	$1,000		OR
$5B - $20B	$2,500		OR
$20B - $50B	$15,000		OR
$50B - $200B	$25,000		OR
> $200B	$50,000		OR

Advanced Software Products Group (ASPG) Inc.	Brand Ambassador
Greg Thomason	Product Manager	239-649-1548	This email address is being protected from spambots. You need JavaScript enabled to view it.
AWS - Amazon Web Services	Advisory
Pradeep Dhananjaya	Banking Technical Lead	201-993-8444	This email address is being protected from spambots. You need JavaScript enabled to view it.
AWS has developed a Sheltered Harbor validated vaulting architecture and provides Security Assurance Services (SAS) to help AWS Customers implement compliant cloud-based data vaults with native AWS services and navigate the certification process with expert guidance on vault implementation and recovery plan validation. Click here for more details.
Capgemini	Advisory
Lanita Benson	Senior Manager, Cybersecurity Center of Execellence	720-480-4538	This email address is being protected from spambots. You need JavaScript enabled to view it.
Cohesity	ENDORSED Solution Provider
Tim Burlowski	VP, Product Management	612-850-8706	This email address is being protected from spambots. You need JavaScript enabled to view it.
Cohesity is a leader in AI-powered data security, has joined the Sheltered Harbor Alliance Partner program. This underscores Cohesity's unwavering commitment to safeguarding critical financial sector data against even the most advanced cyber threats, including ransomware.
Copper Mountatin Consulting	Advisory
Rod Andes	CEO, Senior Security Consultant	629-275-2770	This email address is being protected from spambots. You need JavaScript enabled to view it.
Cyber Risk Institute	Brand Ambassador
Josh Magri	President & CEO		This email address is being protected from spambots. You need JavaScript enabled to view it.
The Cyber Risk Institute (CRI) is a not-for-profit coalition of financial institutions and trade associations. We're working to protect the global economy by enhancing cybersecurity and resiliency through standardization.
Dell Technologies	ENDORSED Solution Provider
Jim Shook	Director, Cybersecurity & Compliance	678-230.0525	This email address is being protected from spambots. You need JavaScript enabled to view it.
Learn how Dell Technologies can help your U.S. financial institution expedite Sheltered Harbor “Data Protected” Certification with “Dell EMC PowerProtect Cyber Recovery for Sheltered Harbor”, the first turnkey data vaulting solution to receive endorsement for meeting all of the requirements of the Sheltered Harbor standard
Elastio	Brand Ambassador
Todd Fredrick	SVP Strategic Alliances	703-328-7325	This email address is being protected from spambots. You need JavaScript enabled to view it.
Grant Thornton	Assurance - Qualified Assessor
Vincent Concialdi	Partner	312-602-8731	This email address is being protected from spambots. You need JavaScript enabled to view it.
Learn how Grant Thornton can help your U.S. financial institution with independent attestation services for Sheltered Harbor Certification and annual recertification.
PwC	Advisory
Shawn Lonergan, Ph.D.	Principal - Cyber, Risk & Regualtory	917-683-9049	This email address is being protected from spambots. You need JavaScript enabled to view it.
PwC	Assurance - Qualified Assessor
Jeff Trent	Partner	646-471-7343	This email address is being protected from spambots. You need JavaScript enabled to view it.
RSM	Assurance - Qualified Assessor
Melissa Harp	Principal	612-376-9871	This email address is being protected from spambots. You need JavaScript enabled to view it.
John Huyette	Principal	215-648-3181	This email address is being protected from spambots. You need JavaScript enabled to view it.
21st Century Software Technologies, Inc.	Brand Ambassador
Eddy Ciliendo	Chief Executive Officer	919-703-9098	This email address is being protected from spambots. You need JavaScript enabled to view it.

Cohesity	ENDORSED Solution Provider
Tim Burlowski	VP, Product Management	612-850-8706	This email address is being protected from spambots. You need JavaScript enabled to view it.
Cohesity is a leader in AI-powered data security, has joined the Sheltered Harbor Alliance Partner program. This underscores Cohesity's unwavering commitment to safeguarding critical financial sector data against even the most advanced cyber threats, including ransomware.

Dell Technologies		ENDORSED Solution Provider
Jim Shook	Director, Cybersecurity & Compliance	678-230-0525	This email address is being protected from spambots. You need JavaScript enabled to view it.
Learn how Dell Technologies can help your U.S. financial institution expedite Sheltered Harbor “Data Protected” Certification with “Dell EMC PowerProtect Cyber Recovery for Sheltered Harbor”, the first turnkey data vaulting solution to receive endorsement for meeting all of the requirements of the Sheltered Harbor standard

FIS		ENDORSED Solution Provider
Scott Yoshimura	Senior Director, Product Management	602-337-3347	This email address is being protected from spambots. You need JavaScript enabled to view it.
Learn how FIS, a global leader in fintech and the first service provider officially certified with an endorsed solution and service for Sheltered Harbor Data Protection, can streamline and expedite your Sheltered Harbor Certification with FIS Data Restore.

Annual Fee Assessment Schedule for Banks and Credit Unions

Assets

Fee

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Annual Fee Assessment Schedule for Securities Firms

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Assets*

Clearing
Clients

Fee

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Annual Fee Schedule for Asset Managers, Transfer Agents, Insurers, Hedge Funds, Custodians, Private Equity and other Financial Recordkeepers

AUM or Plan Assets

Fee

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