Compliance & Auditing

Compliance & Auditing ensures organizations follow established security standards, regulations, and best practices to protect sensitive data and maintain trust. Auditing verifies that controls are in place and effective.

Why Compliance Matters

• Helps avoid legal and regulatory penalties
• Protects customer data and builds trust
• Ensures consistent security practices across systems
• Provides assurance to partners and stakeholders

Major Frameworks

• ISO 27001: International standard for information security management systems.
• PCI DSS: Security standard for handling payment card data.
• SOC 2: Auditing framework for service providers handling sensitive information.
• HIPAA: U.S. regulation for healthcare data security and privacy.
• GDPR: European Union regulation on personal data protection.

Compliance Overview Diagram

Example Scenario

A cloud service provider undergoes a SOC 2 audit:

1. Auditors review security policies and technical controls.
2. Logs and evidence are collected from monitoring systems.
3. Findings highlight strong access controls but weak vendor risk management.
4. The provider updates policies and implements vendor risk assessments.
5. The SOC 2 report demonstrates compliance to customers.

Best Practices

• Map compliance requirements to actual technical controls
• Conduct internal audits before external ones
• Automate evidence collection where possible
• Keep audit logs tamper-proof and centralized
• Foster a culture of security awareness among staff