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Security Regulatory Compliance

This document provides an overview of regulatory compliance frameworks that impact security programs, offering guidance on implementing and maintaining compliance with key regulatory requirements.

Introduction to Security Regulatory Compliance

Regulatory compliance in security refers to the adherence to laws, regulations, and standards designed to protect information systems, data, and privacy. Organizations must navigate an increasingly complex landscape of regulations that vary by:

Industry sector
Geographic location
Data types handled
Business activities
Organization size and structure

Effective regulatory compliance programs help organizations:

Avoid legal penalties and fines
Protect sensitive data
Maintain customer and stakeholder trust
Prepare for regulatory audits
Support business expansion into new regions

Key Security Regulations by Region

United States

Regulation	Scope	Key Security Requirements
HIPAA/HITECH	Healthcare organizations and business associates	Security Risk Analysis, Access Controls, Audit Controls, Integrity Controls, Transmission Security
GLBA	Financial institutions	Security Program Development, Risk Assessments, Service Provider Oversight, Incident Response
SOX	Public companies	IT General Controls, Access Controls, Change Management, Security Testing
FISMA	Federal agencies and contractors	Security Categorization, Security Controls, Risk Assessment, Continuous Monitoring
CMMC	Defense contractors	Security controls across 17 domains based on maturity level
CCPA/CPRA	Organizations handling California resident data	Reasonable Security Measures, Privacy Controls, Breach Notification

European Union

Regulation	Scope	Key Security Requirements
GDPR	Organizations processing EU resident data	Data Protection by Design, Security of Processing, Breach Notification, DPIAs
NIS2 Directive	Essential entities and important entities	Risk Management Measures, Supply Chain Security, Incident Reporting
eIDAS	Trust service providers	Security Requirements for Digital Identity, Electronic Signatures, Risk Assessments
PSD2	Payment service providers	Strong Customer Authentication, Secure Communication, Fraud Monitoring

Asia-Pacific

Regulation	Scope	Key Security Requirements
China PIPL	Organizations processing Chinese resident data	Data Security Measures, Cross-border Transfer Controls, Security Assessments
Japan APPI	Organizations handling personal data in Japan	Security Control Measures, Supervision of Employees and Contractors
Singapore PDPA	Organizations collecting personal data in Singapore	Reasonable Security Arrangements, Data Breach Notification
Australia Privacy Act	Organizations with AU presence above threshold	Reasonable Steps to Protect Information, Breach Notification

Industry-Specific Regulations

Financial Services

Regulation	Jurisdiction	Key Security Requirements
PCI DSS	Global	Network Security, Encryption, Access Control, Testing, Monitoring
SWIFT CSP	Global	Secure Environment, Access Management, Threat Detection, Secure Updates
NY DFS Cybersecurity	New York	Risk Assessment, Cybersecurity Program, CISO Appointment, Encryption
MAS TRM	Singapore	Technology Risk Governance, Security by Design, Cyber Resilience

Healthcare

Regulation	Jurisdiction	Key Security Requirements
HIPAA Security Rule	US	Administrative, Physical, and Technical Safeguards
FDA Medical Device Security	US	Security Throughout Device Lifecycle, Vulnerability Management
EU MDR	EU	Security Requirements for Medical Devices, Risk Management
HITRUST CSF	Global (primarily US)	Unified Security Framework Incorporating Multiple Standards

Critical Infrastructure

Regulation	Jurisdiction	Key Security Requirements
NERC CIP	North America	Security of Bulk Electric Systems, Electronic Security Perimeters
TSA Cybersecurity Directives	US	Pipeline and Transportation Security Requirements
EU NIS2	EU	Network and Information Security for Critical Infrastructure
NIST 800-82	US	Industrial Control Systems Security Guidelines

Compliance Implementation Approach

1. Regulatory Mapping

Create a compliance matrix that maps regulatory requirements to:

Security controls
Responsible teams
Implementation status
Evidence requirements
Audit frequency

2. Unified Control Framework

Implement a unified control framework that satisfies multiple regulations:

# Example Control Mapping
access_management:
  - Strong Authentication Requirements
    - NIST 800-53: IA-2, IA-5
    - ISO 27001: A.9.4.2, A.9.4.3
    - PCI DSS: Requirement 8
    - HIPAA: 164.312(d)
  
  - Access Review Process
    - NIST 800-53: AC-2(3)
    - ISO 27001: A.9.2.5
    - SOX: IT General Controls
    - GDPR: Article 32

3. Compliance Governance

Establish a governance structure for regulatory compliance:

Compliance Committee: Cross-functional team overseeing compliance
Compliance Officer: Individual responsible for compliance program
Subject Matter Experts: Specialists for each major regulation
Business Unit Representatives: Responsible for implementation
Audit Coordination: Interface with internal and external auditors

4. Compliance Monitoring

Implement continuous compliance monitoring:

Automated Control Testing: Regular automated verification of controls
Compliance Dashboards: Real-time visibility into compliance status
Control Exceptions: Process for managing compliance exceptions
Regulatory Updates: Monitoring for regulatory changes
Compliance Metrics: KPIs for measuring compliance effectiveness

Regulatory Challenges and Solutions

Common Challenges

Overlapping Requirements: Multiple regulations with similar but slightly different requirements
Regional Variations: Differences in requirements across jurisdictions
Evolving Regulations: Frequently changing regulatory landscape
Compliance Costs: Resource-intensive compliance activities
Technical Complexity: Implementing technical controls across diverse environments
Evidence Collection: Gathering and maintaining compliance evidence

Solutions

Unified Compliance Framework: Map controls to multiple regulations
Automated Compliance: Deploy compliance automation tools
Regulatory Intelligence: Subscribe to regulatory update services
Risk-Based Approach: Focus resources on highest-risk areas
Compliance Technology: Leverage GRC platforms and tools
Managed Compliance Services: Consider outsourcing specialized compliance functions