Guide for Mapping Types of Information and Information Systems to Security Categories, Volume 2: Appendices
APPENDIX D: IMPACT DETERMINATION FOR MISSION-BASED > D.9 Economic Development > D.9.3

D.9.3 Financial Sector Oversight Information Type Financial Sector Oversight involves the regulation of private sector firms and markets (stock exchanges, corporations, etc.) to protect investors from fraud, monopolies, and illegal behavior. This also includes deposit protection. The recommended provisional categorization of the financial sector oversight information type follows: Security Category = {(confidentiality, Moderate), (integrity, Low), (availability, Low)} The confidentiality impact level is the effect of unauthorized disclosure of financial sector oversight information on the ability of responsible agencies to regulate private sector firms and markets (stock exchanges, corporations, etc.) to protect investors from fraud, monopolies, and illegal behavior. This also includes deposit protection, creation, regulation, and control of the nation's currency and coinage supply and demand. Special Factors Affecting Confidentiality Impact Determination: While the consequences of unauthorized disclosure of some financial sector oversight information would have only a limited adverse effect on agency operations, agency assets, or individuals, there are significant exceptions. Unauthorized disclosure of much financial sector oversight information can result in major financial consequences. This can result in assignment of a high impact level to such information. In some cases, premature disclosure of regulatory information can impact major financial markets and damage national banking and finance infrastructures. For example, unauthorized disclosure of a decision to increase the money supply or of an ongoing securities fraud investigation can have a dramatic effect on financial markets. This can result in assignment of a high impact level to such information. Unauthorized disclosure to a single institution (e.g., a major banking institution or brokerage house), could damage faith in regulatory institutions and result in even more market disruption and have a severe or catastrophic adverse effect on public confidence in the agency. This can result in assignment of a high impact level to such information. Even where the consequences are limited to giving an unfair market advantage to a single financial or commercial institution, unauthorized disclosure can have a serious adverse effect on public confidence in the agency and its staff. This can result in assignment of a high impact level to such information. Recommended Confidentiality Impact Level: The provisional confidentiality impact level recommended for financial sector oversight information is moderate. not on the time required to detect the modification or destruction of information. T he consequences of unauthorized modification or destruction of financial sector oversight information depends on whether the information is time-critical. Unauthorized modification or destruction of information affecting external communications (e.g., web pages, electronic mail) may adversely affect operations or public confidence in the agency, but the damage to the mission would usually be limited. Special Factors Affecting Integrity Impact Determination: Where unauthorized modification or destruction of financial sector oversight information facilitates or enables catastrophic consequences, the integrity impact level may be high. Recommended Integrity Impact Level: The provisional integrity impact level recommended for most financial sector oversight information is low. mission, not on the time required to re-establish access to financial sector oversight information. Missions supported by financial sector oversight information are generally tolerant of delay. Recommended Availability Impact Level: The provisional availability impact level recommended for financial sector oversight information is low.