# Compliance Documentation
## Secure MCP Server - SOC 2 Type II & ISO 27001 Compliance
### Executive Summary
The Secure MCP Server implements comprehensive security controls and operational procedures that align with SOC 2 Type II and ISO 27001 requirements. This documentation provides evidence of our compliance posture, control implementations, and audit readiness.
## Table of Contents
1. [Compliance Overview](#compliance-overview)
2. [SOC 2 Type II Controls](#soc-2-type-ii-controls)
3. [ISO 27001 Controls](#iso-27001-controls)
4. [Security Policies](#security-policies)
5. [Risk Management](#risk-management)
6. [Access Control](#access-control)
7. [Data Protection](#data-protection)
8. [Business Continuity](#business-continuity)
9. [Audit Procedures](#audit-procedures)
10. [Evidence Collection](#evidence-collection)
11. [Compliance Monitoring](#compliance-monitoring)
12. [Reporting](#reporting)
## Compliance Overview
### Compliance Framework Alignment
| Framework | Status | Last Audit | Next Audit | Certification |
|-----------|--------|------------|------------|---------------|
| SOC 2 Type II | Compliant | 2024-01-15 | 2025-01-15 | Active |
| ISO 27001:2022 | Compliant | 2024-02-01 | 2025-02-01 | Active |
| GDPR | Compliant | 2024-03-01 | 2024-09-01 | N/A |
| HIPAA | Partial | 2024-01-01 | 2024-07-01 | In Progress |
| PCI DSS | Not Applicable | N/A | N/A | N/A |
### Compliance Architecture
```
┌─────────────────────────────────────────────────────────────┐
│ Compliance Management │
├─────────────────────────────────────────────────────────────┤
│ │
│ ┌──────────────┐ ┌──────────────┐ ┌──────────────┐ │
│ │ Policies │ │ Controls │ │ Procedures │ │
│ └──────────────┘ └──────────────┘ └──────────────┘ │
│ │
│ ┌──────────────────────────────────────────────────┐ │
│ │ Risk Assessment │ │
│ └──────────────────────────────────────────────────┘ │
│ │
│ ┌──────────────┐ ┌──────────────┐ ┌──────────────┐ │
│ │ Technical │ │Administrative│ │ Physical │ │
│ │ Controls │ │ Controls │ │ Controls │ │
│ └──────────────┘ └──────────────┘ └──────────────┘ │
│ │
│ ┌──────────────────────────────────────────────────┐ │
│ │ Continuous Monitoring │ │
│ └──────────────────────────────────────────────────┘ │
│ │
│ ┌──────────────┐ ┌──────────────┐ ┌──────────────┐ │
│ │Audit Logging │ │ Reporting │ │ Remediation │ │
│ └──────────────┘ └──────────────┘ └──────────────┘ │
└─────────────────────────────────────────────────────────────┘
```
## SOC 2 Type II Controls
### Trust Service Criteria
#### CC1: Control Environment
##### CC1.1 - COSO Principle 1
**Control Objective**: Demonstrates commitment to integrity and ethical values
**Implementation**:
```yaml
Control: Code of Conduct
Description: All employees sign code of conduct annually
Evidence:
- /policies/code-of-conduct.pdf
- /hr/signed-agreements/
Frequency: Annual
Owner: HR Department
Status: Implemented
Testing: Quarterly review of signed agreements
```
**Monitoring Script**:
```bash
#!/bin/bash
# Check code of conduct compliance
YEAR=$(date +%Y)
TOTAL_EMPLOYEES=$(ldapsearch -x -b "ou=employees,dc=enterprise,dc=com" | grep dn | wc -l)
SIGNED_AGREEMENTS=$(find /hr/signed-agreements/$YEAR -name "*.pdf" | wc -l)
COMPLIANCE_RATE=$((SIGNED_AGREEMENTS * 100 / TOTAL_EMPLOYEES))
if [ $COMPLIANCE_RATE -lt 100 ]; then
echo "WARNING: Code of Conduct compliance at ${COMPLIANCE_RATE}%"
echo "Missing agreements: $((TOTAL_EMPLOYEES - SIGNED_AGREEMENTS))"
else
echo "OK: Code of Conduct compliance at 100%"
fi
```
##### CC1.2 - COSO Principle 2
**Control Objective**: Board exercises oversight responsibility
**Implementation**:
```typescript
// Board oversight tracking
interface BoardOversight {
meetingDate: Date;
attendees: string[];
topics: string[];
decisions: Decision[];
actionItems: ActionItem[];
}
class ComplianceTracking {
async recordBoardMeeting(meeting: BoardOversight): Promise<void> {
// Validate required topics covered
const requiredTopics = [
'Security Review',
'Risk Assessment',
'Compliance Status',
'Incident Review'
];
const missingTopics = requiredTopics.filter(
topic => !meeting.topics.includes(topic)
);
if (missingTopics.length > 0) {
throw new Error(`Missing required topics: ${missingTopics.join(', ')}`);
}
// Record meeting
await this.db.boardMeetings.create({ data: meeting });
// Track action items
for (const item of meeting.actionItems) {
await this.createActionItem(item);
}
}
async getComplianceMetrics(): Promise<ComplianceMetrics> {
return {
boardMeetings: await this.getBoardMeetingFrequency(),
policyReviews: await this.getPolicyReviewStatus(),
trainingCompletion: await this.getTrainingCompletionRate(),
incidentResponse: await this.getIncidentResponseMetrics()
};
}
}
```
#### CC2: Communication and Information
##### CC2.1 - Internal Communication
**Control Objective**: Obtain or generate relevant, quality information
**Implementation**:
```yaml
Control: Security Information Distribution
Description: Security updates communicated to all stakeholders
Evidence:
- /communications/security-bulletins/
- /communications/policy-updates/
Process:
1. Identify security information
2. Assess relevance and impact
3. Prepare communication
4. Distribute via multiple channels
5. Track acknowledgment
6. Archive communication
```
**Communication Tracking**:
```typescript
class SecurityCommunication {
async sendSecurityBulletin(bulletin: SecurityBulletin): Promise<void> {
// Determine distribution list
const recipients = await this.getRecipients(bulletin.severity);
// Send via multiple channels
await Promise.all([
this.sendEmail(recipients, bulletin),
this.postToSlack(bulletin),
this.updatePortal(bulletin)
]);
// Track delivery and acknowledgment
await this.trackDelivery(bulletin.id, recipients);
// Set reminder for unacknowledged
await this.scheduleReminder(bulletin.id, '24h');
}
async verifyAcknowledgment(bulletinId: string): Promise<AcknowledgmentReport> {
const sent = await this.getSentCount(bulletinId);
const acknowledged = await this.getAcknowledgedCount(bulletinId);
return {
bulletinId,
sentCount: sent,
acknowledgedCount: acknowledged,
completionRate: (acknowledged / sent) * 100,
pending: await this.getPendingRecipients(bulletinId)
};
}
}
```
#### CC3: Risk Assessment
##### CC3.1 - Risk Identification
**Control Objective**: Specify risk assessment process
**Risk Assessment Matrix**:
```typescript
interface Risk {
id: string;
category: 'Technical' | 'Operational' | 'Compliance' | 'Financial';
description: string;
likelihood: 1 | 2 | 3 | 4 | 5;
impact: 1 | 2 | 3 | 4 | 5;
riskScore: number; // likelihood * impact
controls: Control[];
residualRisk: number;
owner: string;
reviewDate: Date;
}
class RiskManagement {
async performRiskAssessment(): Promise<RiskAssessment> {
const risks = await this.identifyRisks();
const assessment: RiskAssessment = {
date: new Date(),
risks: [],
overallRiskScore: 0
};
for (const risk of risks) {
// Calculate inherent risk
risk.riskScore = risk.likelihood * risk.impact;
// Identify controls
risk.controls = await this.getApplicableControls(risk);
// Calculate residual risk
risk.residualRisk = this.calculateResidualRisk(risk);
// Determine treatment
risk.treatment = this.determineRiskTreatment(risk);
assessment.risks.push(risk);
}
// Calculate overall risk score
assessment.overallRiskScore = this.calculateOverallRisk(assessment.risks);
// Generate report
await this.generateRiskReport(assessment);
return assessment;
}
private determineRiskTreatment(risk: Risk): RiskTreatment {
if (risk.residualRisk > 15) {
return 'MITIGATE';
} else if (risk.residualRisk > 10) {
return 'MONITOR';
} else if (risk.residualRisk > 5) {
return 'ACCEPT';
} else {
return 'ACCEPT';
}
}
}
```
#### CC4: Monitoring Activities
##### CC4.1 - Performance Monitoring
**Control Objective**: Select, develop, and perform ongoing evaluations
**Continuous Monitoring Implementation**:
```typescript
class ComplianceMonitoring {
private monitors: Map<string, Monitor> = new Map();
async initializeMonitors(): Promise<void> {
// Access control monitoring
this.registerMonitor('access_control', {
schedule: '*/15 * * * *', // Every 15 minutes
check: async () => {
const violations = await this.checkAccessViolations();
if (violations.length > 0) {
await this.alert('Access violations detected', violations);
}
}
});
// Security configuration monitoring
this.registerMonitor('security_config', {
schedule: '0 * * * *', // Hourly
check: async () => {
const drift = await this.checkConfigurationDrift();
if (drift.detected) {
await this.remediateConfiguration(drift);
}
}
});
// Compliance status monitoring
this.registerMonitor('compliance_status', {
schedule: '0 0 * * *', // Daily
check: async () => {
const status = await this.getComplianceStatus();
await this.updateComplianceDashboard(status);
}
});
}
async checkAccessViolations(): Promise<Violation[]> {
const violations: Violation[] = [];
// Check for unauthorized access attempts
const unauthorizedAttempts = await this.db.query(`
SELECT * FROM access_logs
WHERE result = 'denied'
AND timestamp > NOW() - INTERVAL '15 minutes'
AND attempts > 3
`);
for (const attempt of unauthorizedAttempts) {
violations.push({
type: 'UNAUTHORIZED_ACCESS',
userId: attempt.userId,
resource: attempt.resource,
timestamp: attempt.timestamp,
severity: 'HIGH'
});
}
// Check for privilege escalation
const privilegeEscalations = await this.detectPrivilegeEscalation();
violations.push(...privilegeEscalations);
return violations;
}
}
```
#### CC5: Control Activities
##### CC5.1 - Control Selection
**Control Objective**: Select and develop control activities
**Control Implementation Matrix**:
```yaml
Controls:
- id: AC-01
name: Access Control Policy
type: Administrative
objective: Restrict system access to authorized users
implementation:
- Multi-factor authentication required
- Role-based access control
- Least privilege principle
- Regular access reviews
testing:
frequency: Quarterly
method: Sample testing
sample_size: 25%
evidence:
- /logs/access_logs/
- /reports/access_reviews/
- id: DS-01
name: Data Security
type: Technical
objective: Protect data confidentiality and integrity
implementation:
- Encryption at rest (AES-256)
- Encryption in transit (TLS 1.3)
- Data classification
- Data loss prevention
testing:
frequency: Monthly
method: Automated scanning
evidence:
- /scans/encryption_validation/
- /logs/dlp_events/
```
#### CC6: Logical and Physical Access
##### CC6.1 - Access Management
**Control Objective**: Manage logical access
**Access Control Implementation**:
```typescript
class AccessControl {
async provisionAccess(request: AccessRequest): Promise<void> {
// Validate request
await this.validateAccessRequest(request);
// Check approval
const approval = await this.getApproval(request);
if (!approval.approved) {
throw new Error(`Access request denied: ${approval.reason}`);
}
// Provision access
const access = await this.createAccess({
userId: request.userId,
resources: request.resources,
permissions: request.permissions,
expiresAt: this.calculateExpiry(request),
approvedBy: approval.approver,
approvalDate: approval.date
});
// Send notification
await this.notifyAccessProvisioned(access);
// Schedule review
await this.scheduleAccessReview(access);
// Audit log
await this.auditLog('ACCESS_PROVISIONED', access);
}
async performAccessReview(): Promise<AccessReviewReport> {
const users = await this.getAllUsers();
const report: AccessReviewReport = {
date: new Date(),
reviewed: [],
revoked: [],
modified: []
};
for (const user of users) {
const review = await this.reviewUserAccess(user);
if (review.status === 'REVOKE') {
await this.revokeAccess(user.id);
report.revoked.push(user.id);
} else if (review.status === 'MODIFY') {
await this.modifyAccess(user.id, review.changes);
report.modified.push(user.id);
}
report.reviewed.push(user.id);
}
// Generate certification
await this.generateAccessCertification(report);
return report;
}
}
```
#### CC7: System Operations
##### CC7.1 - System Monitoring
**Control Objective**: Monitor system operations
**Operations Monitoring**:
```typescript
class OperationsMonitoring {
async monitorSystemHealth(): Promise<SystemHealth> {
const metrics = await Promise.all([
this.checkCPUUsage(),
this.checkMemoryUsage(),
this.checkDiskUsage(),
this.checkNetworkLatency(),
this.checkServiceAvailability(),
this.checkDatabasePerformance(),
this.checkCacheHitRate()
]);
const health: SystemHealth = {
timestamp: new Date(),
status: 'healthy',
metrics: {}
};
for (const metric of metrics) {
health.metrics[metric.name] = metric;
if (metric.status === 'critical') {
health.status = 'critical';
} else if (metric.status === 'warning' && health.status === 'healthy') {
health.status = 'degraded';
}
}
// Alert if unhealthy
if (health.status !== 'healthy') {
await this.sendAlert(health);
}
// Store metrics
await this.storeMetrics(health);
return health;
}
async detectAnomalies(): Promise<Anomaly[]> {
const anomalies: Anomaly[] = [];
// Check for unusual traffic patterns
const trafficAnomalies = await this.ml.detectTrafficAnomalies({
lookback: '1h',
sensitivity: 0.95
});
anomalies.push(...trafficAnomalies);
// Check for unusual user behavior
const behaviorAnomalies = await this.ml.detectBehaviorAnomalies({
model: 'user_behavior_baseline',
threshold: 3.0 // Standard deviations
});
anomalies.push(...behaviorAnomalies);
// Check for system anomalies
const systemAnomalies = await this.ml.detectSystemAnomalies({
metrics: ['cpu', 'memory', 'disk_io', 'network_io'],
algorithm: 'isolation_forest'
});
anomalies.push(...systemAnomalies);
return anomalies;
}
}
```
#### CC8: Change Management
##### CC8.1 - Change Control
**Control Objective**: Manage system changes
**Change Management Process**:
```typescript
class ChangeManagement {
async submitChange(change: ChangeRequest): Promise<ChangeTicket> {
// Validate change request
this.validateChangeRequest(change);
// Risk assessment
const risk = await this.assessChangeRisk(change);
// Determine approval requirements
const approvalLevels = this.determineApprovalLevels(risk);
// Create ticket
const ticket = await this.createTicket({
...change,
risk,
approvalLevels,
status: 'PENDING_APPROVAL'
});
// Request approvals
await this.requestApprovals(ticket);
return ticket;
}
async implementChange(ticketId: string): Promise<void> {
const ticket = await this.getTicket(ticketId);
// Verify approvals
if (!await this.verifyApprovals(ticket)) {
throw new Error('Insufficient approvals');
}
// Create implementation plan
const plan = await this.createImplementationPlan(ticket);
// Take backup
const backup = await this.createBackup(plan.affectedSystems);
try {
// Implement change
await this.executeChange(plan);
// Verify change
const verification = await this.verifyChange(plan);
if (!verification.success) {
throw new Error(`Change verification failed: ${verification.errors}`);
}
// Update ticket
await this.updateTicket(ticketId, {
status: 'COMPLETED',
completedAt: new Date()
});
} catch (error) {
// Rollback
await this.rollback(backup);
// Update ticket
await this.updateTicket(ticketId, {
status: 'FAILED',
error: error.message
});
throw error;
}
}
}
```
#### CC9: Risk Mitigation
##### CC9.1 - Risk Response
**Control Objective**: Identify and assess risk mitigation activities
**Risk Mitigation Strategies**:
```yaml
Risk_Mitigation:
Data_Breach:
Controls:
- Encryption at rest and in transit
- Access control and authentication
- Data loss prevention
- Security monitoring
Procedures:
- Incident response plan
- Breach notification process
- Forensic analysis
- Recovery procedures
Service_Outage:
Controls:
- High availability architecture
- Load balancing
- Auto-scaling
- Disaster recovery
Procedures:
- Failover process
- Communication plan
- Service restoration
- Post-incident review
Compliance_Violation:
Controls:
- Policy enforcement
- Compliance monitoring
- Audit logging
- Training programs
Procedures:
- Violation detection
- Remediation process
- Regulatory reporting
- Corrective actions
```
## ISO 27001 Controls
### Information Security Management System (ISMS)
#### A.5 - Information Security Policies
**Policy Framework**:
```typescript
interface SecurityPolicy {
id: string;
title: string;
version: string;
effectiveDate: Date;
reviewDate: Date;
owner: string;
approver: string;
scope: string[];
requirements: Requirement[];
controls: Control[];
}
class PolicyManagement {
async enforcePolicy(policyId: string): Promise<void> {
const policy = await this.getPolicy(policyId);
// Deploy technical controls
for (const control of policy.controls) {
await this.deployControl(control);
}
// Configure monitoring
await this.configureMonitoring(policy);
// Schedule reviews
await this.scheduleReview(policy.reviewDate);
// Notify stakeholders
await this.notifyStakeholders(policy);
}
async reviewPolicy(policyId: string): Promise<PolicyReview> {
const policy = await this.getPolicy(policyId);
const review: PolicyReview = {
policyId,
date: new Date(),
findings: [],
recommendations: []
};
// Check effectiveness
const effectiveness = await this.assessEffectiveness(policy);
if (effectiveness < 0.8) {
review.findings.push({
type: 'INEFFECTIVE',
description: `Policy effectiveness at ${effectiveness * 100}%`
});
}
// Check compliance
const compliance = await this.checkCompliance(policy);
review.complianceRate = compliance;
// Check for updates
const updates = await this.checkForUpdates(policy);
if (updates.needed) {
review.recommendations.push(...updates.recommendations);
}
return review;
}
}
```
#### A.6 - Organization of Information Security
**Security Organization Structure**:
```yaml
Security_Organization:
Chief_Information_Security_Officer:
Responsibilities:
- Security strategy
- Policy development
- Risk management
- Compliance oversight
Reports_To: Chief Technology Officer
Security_Team:
Security_Architect:
- Security design
- Control implementation
- Security assessments
Security_Engineer:
- Security operations
- Incident response
- Tool management
Security_Analyst:
- Threat analysis
- Log monitoring
- Vulnerability assessment
Security_Committee:
Members:
- CISO
- CTO
- Legal Counsel
- Risk Manager
- Business Unit Leaders
Meeting_Frequency: Monthly
Responsibilities:
- Policy approval
- Risk decisions
- Investment priorities
```
#### A.7 - Human Resource Security
**HR Security Controls**:
```typescript
class HRSecurity {
async onboardEmployee(employee: Employee): Promise<void> {
// Background check
const backgroundCheck = await this.performBackgroundCheck(employee);
if (!backgroundCheck.passed) {
throw new Error('Background check failed');
}
// Security training
await this.assignSecurityTraining(employee);
// NDA and agreements
await this.processAgreements(employee, [
'NDA',
'Acceptable Use Policy',
'Security Policy'
]);
// Access provisioning
await this.provisionInitialAccess(employee);
// Security briefing
await this.scheduleSecurityBriefing(employee);
}
async offboardEmployee(employee: Employee): Promise<void> {
// Revoke access immediately
await this.revokeAllAccess(employee.id);
// Collect company assets
await this.collectAssets(employee);
// Knowledge transfer
await this.knowledgeTransfer(employee);
// Exit interview
const exitInterview = await this.conductExitInterview(employee);
// Final audit
await this.performExitAudit(employee);
// Archive records
await this.archiveEmployeeRecords(employee);
}
async enforceSecurityTraining(): Promise<TrainingReport> {
const employees = await this.getAllEmployees();
const report: TrainingReport = {
date: new Date(),
totalEmployees: employees.length,
completed: 0,
pending: 0,
overdue: 0
};
for (const employee of employees) {
const status = await this.getTrainingStatus(employee);
switch (status) {
case 'COMPLETED':
report.completed++;
break;
case 'PENDING':
report.pending++;
break;
case 'OVERDUE':
report.overdue++;
await this.sendTrainingReminder(employee);
break;
}
}
report.complianceRate = (report.completed / report.totalEmployees) * 100;
return report;
}
}
```
#### A.8 - Asset Management
**Asset Inventory and Classification**:
```typescript
interface Asset {
id: string;
type: 'Hardware' | 'Software' | 'Data' | 'Service';
name: string;
owner: string;
classification: 'Public' | 'Internal' | 'Confidential' | 'Restricted';
location: string;
value: number;
criticality: 'Low' | 'Medium' | 'High' | 'Critical';
lifecycle: 'Active' | 'Deprecated' | 'Retired';
}
class AssetManagement {
async maintainAssetInventory(): Promise<void> {
// Discover assets
const discovered = await this.discoverAssets();
// Update inventory
for (const asset of discovered) {
const existing = await this.getAsset(asset.id);
if (!existing) {
// New asset
await this.registerAsset(asset);
} else {
// Update existing
await this.updateAsset(asset.id, asset);
}
}
// Check for missing assets
const missing = await this.identifyMissingAssets();
for (const asset of missing) {
await this.investigateMissingAsset(asset);
}
}
async classifyData(data: DataAsset): Promise<DataClassification> {
const classification: DataClassification = {
level: 'Internal', // Default
handling: [],
retention: 'standard'
};
// Check for sensitive patterns
if (await this.containsPII(data)) {
classification.level = 'Confidential';
classification.handling.push('ENCRYPT', 'AUDIT_ACCESS');
}
if (await this.containsFinancialData(data)) {
classification.level = 'Restricted';
classification.handling.push('ENCRYPT', 'RESTRICT_ACCESS', 'AUDIT_ALL');
classification.retention = 'extended';
}
// Apply classification
await this.applyClassification(data.id, classification);
return classification;
}
}
```
#### A.9 - Access Control
**Access Control Matrix**:
```yaml
Access_Control_Matrix:
Roles:
Administrator:
Systems: ["all"]
Data: ["all"]
Operations: ["all"]
Restrictions: ["require_mfa", "audit_all"]
Developer:
Systems: ["development", "staging"]
Data: ["development_data"]
Operations: ["read", "write", "deploy"]
Restrictions: ["business_hours", "vpn_required"]
Operator:
Systems: ["production"]
Data: ["logs", "metrics"]
Operations: ["read", "restart", "scale"]
Restrictions: ["on_call_only", "approval_required"]
Auditor:
Systems: ["all"]
Data: ["audit_logs", "compliance_reports"]
Operations: ["read"]
Restrictions: ["read_only", "watermark_downloads"]
```
#### A.10 - Cryptography
**Cryptographic Controls**:
```typescript
class CryptographicControls {
private keyStore: KeyManagementService;
async encryptSensitiveData(data: Buffer, classification: string): Promise<EncryptedData> {
// Select algorithm based on classification
const algorithm = this.selectAlgorithm(classification);
// Generate or retrieve key
const key = await this.keyStore.getKey(classification);
// Encrypt data
const encrypted = await this.encrypt(data, key, algorithm);
// Add metadata
return {
data: encrypted,
algorithm,
keyId: key.id,
timestamp: new Date(),
classification
};
}
private selectAlgorithm(classification: string): EncryptionAlgorithm {
switch (classification) {
case 'Restricted':
return {
cipher: 'aes-256-gcm',
keyLength: 256,
mode: 'GCM',
tagLength: 128
};
case 'Confidential':
return {
cipher: 'aes-256-cbc',
keyLength: 256,
mode: 'CBC',
padding: 'PKCS7'
};
default:
return {
cipher: 'aes-128-gcm',
keyLength: 128,
mode: 'GCM',
tagLength: 128
};
}
}
async rotateKeys(): Promise<KeyRotationReport> {
const keys = await this.keyStore.listKeys();
const report: KeyRotationReport = {
date: new Date(),
rotated: [],
failed: []
};
for (const key of keys) {
if (this.shouldRotate(key)) {
try {
// Generate new key
const newKey = await this.keyStore.generateKey(key.algorithm);
// Re-encrypt data
await this.reencryptWithNewKey(key.id, newKey.id);
// Archive old key
await this.keyStore.archiveKey(key.id);
report.rotated.push(key.id);
} catch (error) {
report.failed.push({ keyId: key.id, error: error.message });
}
}
}
return report;
}
private shouldRotate(key: CryptographicKey): boolean {
const age = Date.now() - key.createdAt.getTime();
const maxAge = this.getMaxKeyAge(key.classification);
return age > maxAge || key.usageCount > 1000000;
}
}
```
#### A.11 - Physical and Environmental Security
**Physical Security Controls**:
```yaml
Physical_Security:
Data_Center:
Access_Control:
- Biometric authentication
- Badge access system
- Mantrap entry
- 24/7 security guards
Environmental:
- Temperature monitoring
- Humidity control
- Fire suppression
- Water detection
Surveillance:
- CCTV coverage
- Motion detection
- Access logs
- Visitor tracking
Office_Security:
Access:
- Badge required
- Visitor escort
- Clean desk policy
- Locked cabinets
Equipment:
- Asset tagging
- Cable locks
- Screen privacy filters
- Secure disposal
```
#### A.12 - Operations Security
**Operational Procedures**:
```typescript
class OperationalSecurity {
async performOperationalTask(task: OperationalTask): Promise<void> {
// Verify authorization
if (!await this.isAuthorized(task)) {
throw new UnauthorizedError('Not authorized for this operation');
}
// Check maintenance window
if (!this.isInMaintenanceWindow(task)) {
throw new Error('Operation must be performed during maintenance window');
}
// Create change ticket
const ticket = await this.createChangeTicket(task);
// Document procedure
const procedure = await this.documentProcedure(task);
// Execute with logging
const result = await this.executeWithLogging(task, async () => {
// Backup before change
const backup = await this.createBackup(task.affectedSystems);
try {
// Execute task
await task.execute();
// Verify success
await this.verifyOperation(task);
} catch (error) {
// Rollback on failure
await this.rollback(backup);
throw error;
}
});
// Update documentation
await this.updateDocumentation(task, result);
}
async manageMalware(): Promise<void> {
// Real-time scanning
this.enableRealTimeScanning();
// Scheduled scans
this.scheduleDailyScans();
// Update signatures
await this.updateSignatures();
// Check quarantine
const quarantined = await this.checkQuarantine();
if (quarantined.length > 0) {
await this.handleQuarantinedItems(quarantined);
}
}
}
```
#### A.13 - Communications Security
**Network Security Controls**:
```typescript
class NetworkSecurity {
async enforceNetworkSegmentation(): Promise<void> {
// Define network zones
const zones = [
{ name: 'DMZ', vlan: 10, subnet: '10.0.1.0/24' },
{ name: 'Application', vlan: 20, subnet: '10.0.2.0/24' },
{ name: 'Database', vlan: 30, subnet: '10.0.3.0/24' },
{ name: 'Management', vlan: 40, subnet: '10.0.4.0/24' }
];
// Configure firewall rules
for (const zone of zones) {
await this.configureFirewallRules(zone);
}
// Enable IDS/IPS
await this.enableIntrusionDetection();
// Configure VPN
await this.configureVPN();
}
async monitorNetworkTraffic(): Promise<NetworkAnalysis> {
const analysis: NetworkAnalysis = {
timestamp: new Date(),
traffic: await this.captureTraffic('5m'),
anomalies: [],
threats: []
};
// Analyze traffic patterns
analysis.anomalies = await this.detectAnomalies(analysis.traffic);
// Check for threats
analysis.threats = await this.detectThreats(analysis.traffic);
// Block malicious IPs
for (const threat of analysis.threats) {
if (threat.confidence > 0.9) {
await this.blockIP(threat.sourceIP);
}
}
return analysis;
}
}
```
#### A.14 - System Acquisition, Development and Maintenance
**Secure Development Lifecycle**:
```typescript
class SecureDevelopment {
async performSecurityReview(code: CodeSubmission): Promise<SecurityReview> {
const review: SecurityReview = {
id: generateId(),
timestamp: new Date(),
findings: [],
approved: false
};
// Static analysis
const staticResults = await this.runStaticAnalysis(code);
review.findings.push(...staticResults.findings);
// Dependency scanning
const depResults = await this.scanDependencies(code);
review.findings.push(...depResults.vulnerabilities);
// Security testing
const testResults = await this.runSecurityTests(code);
review.findings.push(...testResults.failures);
// Manual review for critical changes
if (code.isCritical) {
const manualReview = await this.requestManualReview(code);
review.findings.push(...manualReview.findings);
}
// Determine approval
const criticalFindings = review.findings.filter(f => f.severity === 'critical');
review.approved = criticalFindings.length === 0;
return review;
}
async enforceSecureCoding(): Promise<void> {
// Input validation
this.enforceInputValidation();
// Output encoding
this.enforceOutputEncoding();
// Authentication checks
this.enforceAuthentication();
// Authorization checks
this.enforceAuthorization();
// Cryptography standards
this.enforceCryptographyStandards();
// Error handling
this.enforceSecureErrorHandling();
// Logging standards
this.enforceLoggingStandards();
}
}
```
## Security Policies
### Information Security Policy
```markdown
# INFORMATION SECURITY POLICY
## 1. Purpose
This policy establishes the framework for information security at Enterprise Corporation to protect the confidentiality, integrity, and availability of information assets.
## 2. Scope
This policy applies to all employees, contractors, consultants, temporary workers, and other personnel who have access to Enterprise Corporation information systems.
## 3. Policy Statements
### 3.1 Information Classification
- All information must be classified according to sensitivity
- Classification levels: Public, Internal, Confidential, Restricted
- Owners must review classification annually
### 3.2 Access Control
- Access granted on need-to-know basis
- Principle of least privilege enforced
- Multi-factor authentication required for sensitive systems
- Access reviewed quarterly
### 3.3 Data Protection
- Encryption required for sensitive data
- Data retention per legal requirements
- Secure disposal procedures mandatory
- Data loss prevention controls active
### 3.4 Incident Response
- All security incidents reported immediately
- Incident response team activated within 15 minutes
- Evidence preservation required
- Post-incident review mandatory
## 4. Compliance
Violations may result in disciplinary action including termination and legal prosecution.
## 5. Review
This policy is reviewed annually or upon significant changes.
Last Updated: 2024-01-01
Next Review: 2025-01-01
Owner: Chief Information Security Officer
```
### Acceptable Use Policy
```typescript
class AcceptableUseEnforcement {
async enforcePolicy(user: User, activity: UserActivity): Promise<void> {
const violations = await this.checkViolations(activity);
if (violations.length > 0) {
// Log violations
await this.logViolations(user, violations);
// Determine severity
const severity = this.determineSeverity(violations);
// Take action
switch (severity) {
case 'LOW':
await this.sendWarning(user, violations);
break;
case 'MEDIUM':
await this.restrictAccess(user, '24h');
await this.notifyManager(user, violations);
break;
case 'HIGH':
await this.suspendAccount(user);
await this.notifySecurityTeam(user, violations);
break;
case 'CRITICAL':
await this.lockAccount(user);
await this.initiateInvestigation(user, violations);
break;
}
}
}
private async checkViolations(activity: UserActivity): Promise<Violation[]> {
const violations: Violation[] = [];
// Check prohibited activities
if (await this.isProhibitedSite(activity.url)) {
violations.push({
type: 'PROHIBITED_SITE',
severity: 'MEDIUM'
});
}
if (await this.isExcessiveBandwidth(activity.bandwidth)) {
violations.push({
type: 'EXCESSIVE_BANDWIDTH',
severity: 'LOW'
});
}
if (await this.isMaliciousActivity(activity)) {
violations.push({
type: 'MALICIOUS_ACTIVITY',
severity: 'CRITICAL'
});
}
return violations;
}
}
```
## Risk Management
### Risk Register
```typescript
interface RiskRegister {
risks: Risk[];
lastUpdated: Date;
nextReview: Date;
}
const riskRegister: RiskRegister = {
risks: [
{
id: 'R001',
title: 'Data Breach',
description: 'Unauthorized access to sensitive customer data',
category: 'Security',
probability: 3, // Medium
impact: 5, // Very High
riskScore: 15,
riskAppetite: 5,
treatment: 'MITIGATE',
controls: ['Encryption', 'Access Control', 'Monitoring'],
residualRisk: 6,
owner: 'CISO',
status: 'Active'
},
{
id: 'R002',
title: 'Service Outage',
description: 'System unavailability affecting business operations',
category: 'Operational',
probability: 2, // Low
impact: 4, // High
riskScore: 8,
riskAppetite: 10,
treatment: 'ACCEPT',
controls: ['HA Architecture', 'Disaster Recovery'],
residualRisk: 4,
owner: 'CTO',
status: 'Active'
}
],
lastUpdated: new Date('2024-01-15'),
nextReview: new Date('2024-04-15')
};
```
### Risk Treatment Plans
```yaml
Risk_Treatment:
R001_Data_Breach:
Treatment_Strategy: Mitigate
Actions:
- Implement data encryption at rest and in transit
- Deploy data loss prevention solution
- Conduct quarterly penetration testing
- Implement privileged access management
- Deploy user behavior analytics
Timeline:
- Q1: Encryption deployment
- Q2: DLP implementation
- Q3: PAM rollout
- Q4: UBA deployment
Budget: $500,000
Success_Metrics:
- Zero data breaches
- 100% encryption coverage
- <1% false positive rate for DLP
R002_Service_Outage:
Treatment_Strategy: Accept with Controls
Actions:
- Maintain 99.99% uptime SLA
- Implement auto-scaling
- Deploy across multiple regions
- Establish disaster recovery site
Success_Metrics:
- Uptime >= 99.99%
- RTO < 15 minutes
- RPO < 5 minutes
```
## Access Control
### Identity and Access Management
```typescript
class IdentityManagement {
async createIdentity(user: UserInfo): Promise<Identity> {
// Generate unique identifier
const identity: Identity = {
id: generateUUID(),
username: user.email,
attributes: {
email: user.email,
name: user.name,
department: user.department,
employeeId: user.employeeId
},
createdAt: new Date(),
status: 'PENDING_VERIFICATION'
};
// Verify identity
await this.verifyIdentity(identity);
// Create account
const account = await this.createAccount(identity);
// Assign initial roles
await this.assignInitialRoles(account);
// Enable MFA
await this.enableMFA(account);
// Send welcome email
await this.sendWelcomeEmail(account);
return identity;
}
async managePrivilegedAccess(request: PrivilegedAccessRequest): Promise<void> {
// Validate request
this.validatePrivilegedRequest(request);
// Check approvals
const approvals = await this.getApprovals(request);
if (approvals.length < 2) {
throw new Error('Insufficient approvals for privileged access');
}
// Grant time-limited access
const grant = await this.grantPrivilegedAccess({
userId: request.userId,
role: request.role,
duration: '4h', // Maximum 4 hours
justification: request.justification,
approvals
});
// Start session recording
await this.startSessionRecording(grant);
// Schedule automatic revocation
await this.scheduleRevocation(grant);
// Alert security team
await this.alertSecurityTeam(grant);
}
}
```
### Access Reviews and Certification
```typescript
class AccessReviewProcess {
async conductQuarterlyReview(): Promise<ReviewReport> {
const report: ReviewReport = {
quarter: this.getCurrentQuarter(),
startDate: new Date(),
endDate: null,
reviewers: [],
findings: [],
certifications: []
};
// Get all access grants
const accessGrants = await this.getAllAccessGrants();
// Group by manager
const byManager = this.groupByManager(accessGrants);
// Send review requests
for (const [manager, grants] of byManager) {
const review = await this.requestReview(manager, grants);
report.reviewers.push(manager);
// Process review results
for (const grant of review.decisions) {
if (grant.action === 'REVOKE') {
await this.revokeAccess(grant.userId, grant.resource);
report.findings.push({
type: 'ACCESS_REVOKED',
userId: grant.userId,
resource: grant.resource,
reason: grant.reason
});
} else if (grant.action === 'MODIFY') {
await this.modifyAccess(grant.userId, grant.resource, grant.newPermissions);
report.findings.push({
type: 'ACCESS_MODIFIED',
userId: grant.userId,
resource: grant.resource,
changes: grant.changes
});
}
}
// Generate certification
const certification = await this.generateCertification(manager, review);
report.certifications.push(certification);
}
report.endDate = new Date();
await this.storeReport(report);
return report;
}
}
```
## Data Protection
### Data Classification and Handling
```typescript
class DataProtection {
async classifyAndProtect(data: DataObject): Promise<void> {
// Classify data
const classification = await this.classifyData(data);
// Apply protection based on classification
switch (classification.level) {
case 'RESTRICTED':
await this.applyRestrictedProtection(data);
break;
case 'CONFIDENTIAL':
await this.applyConfidentialProtection(data);
break;
case 'INTERNAL':
await this.applyInternalProtection(data);
break;
case 'PUBLIC':
// No additional protection needed
break;
}
// Add metadata
await this.addClassificationMetadata(data, classification);
// Configure retention
await this.setRetentionPolicy(data, classification);
}
private async applyRestrictedProtection(data: DataObject): Promise<void> {
// Encrypt with strongest algorithm
await this.encrypt(data, 'AES-256-GCM');
// Restrict access to specific roles
await this.restrictAccess(data, ['security-admin', 'compliance-officer']);
// Enable audit logging for all access
await this.enableAuditLogging(data, 'ALL');
// Apply DLP policies
await this.applyDLP(data, 'BLOCK_EXTERNAL');
// Enable access approval workflow
await this.enableApprovalWorkflow(data);
}
async handleDataBreach(incident: DataBreachIncident): Promise<void> {
// Immediate containment
await this.containBreach(incident);
// Assess impact
const impact = await this.assessImpact(incident);
// Notification requirements
const notifications = this.determineNotifications(impact);
// Send notifications
for (const notification of notifications) {
if (notification.type === 'REGULATORY') {
await this.notifyRegulator(notification);
} else if (notification.type === 'CUSTOMER') {
await this.notifyCustomers(notification);
}
}
// Forensic analysis
await this.performForensics(incident);
// Remediation
await this.remediateBreach(incident);
// Lessons learned
await this.documentLessonsLearned(incident);
}
}
```
## Business Continuity
### Business Continuity Plan
```yaml
Business_Continuity_Plan:
Objectives:
RTO: 4 hours # Recovery Time Objective
RPO: 1 hour # Recovery Point Objective
MTPD: 24 hours # Maximum Tolerable Period of Disruption
Critical_Functions:
- Authentication_Service:
Priority: 1
RTO: 30 minutes
Dependencies: [Database, Redis, Vault]
- API_Gateway:
Priority: 1
RTO: 30 minutes
Dependencies: [Load Balancer, Application Servers]
- Database:
Priority: 1
RTO: 1 hour
Dependencies: [Storage, Network]
Recovery_Strategies:
Data_Center_Failure:
Strategy: Failover to DR site
Procedure:
1. Detect failure
2. Verify DR site readiness
3. Update DNS
4. Failover database
5. Start applications
6. Verify functionality
Cyber_Attack:
Strategy: Isolate and recover
Procedure:
1. Isolate affected systems
2. Activate incident response
3. Restore from clean backups
4. Apply security patches
5. Gradually restore service
```
### Disaster Recovery Testing
```typescript
class DisasterRecoveryTesting {
async conductDRTest(scenario: DRScenario): Promise<TestReport> {
const report: TestReport = {
scenario: scenario.name,
date: new Date(),
participants: [],
timeline: [],
issues: [],
recommendations: []
};
// Notify participants
await this.notifyParticipants(scenario);
// Start test
const startTime = Date.now();
report.timeline.push({ time: startTime, event: 'Test initiated' });
// Simulate failure
await this.simulateFailure(scenario);
// Execute recovery
try {
// Failover to DR
await this.failoverToDR();
report.timeline.push({
time: Date.now(),
event: 'Failover completed',
duration: Date.now() - startTime
});
// Verify services
const verification = await this.verifyServices();
report.timeline.push({
time: Date.now(),
event: 'Service verification',
status: verification.allHealthy ? 'SUCCESS' : 'PARTIAL'
});
// Test functionality
const functionality = await this.testFunctionality();
report.functionalityResults = functionality;
// Failback to primary
await this.failbackToPrimary();
report.timeline.push({
time: Date.now(),
event: 'Failback completed'
});
} catch (error) {
report.issues.push({
severity: 'CRITICAL',
description: error.message,
impact: 'Test failed'
});
}
// Calculate metrics
report.metrics = {
totalDuration: Date.now() - startTime,
rto: this.calculateRTO(report.timeline),
rpo: await this.calculateRPO(),
dataLoss: await this.checkDataLoss()
};
// Generate recommendations
if (report.metrics.rto > scenario.targetRTO) {
report.recommendations.push('Improve failover automation');
}
return report;
}
}
```
## Audit Procedures
### Internal Audit Program
```typescript
class InternalAudit {
async performComplianceAudit(standard: ComplianceStandard): Promise<AuditReport> {
const report: AuditReport = {
standard: standard.name,
auditor: this.getAuditor(),
startDate: new Date(),
endDate: null,
scope: standard.scope,
findings: [],
nonConformities: [],
observations: [],
recommendations: []
};
// Review documentation
const docReview = await this.reviewDocumentation(standard);
report.findings.push(...docReview.findings);
// Test controls
for (const control of standard.controls) {
const test = await this.testControl(control);
if (!test.effective) {
report.nonConformities.push({
control: control.id,
description: test.failure,
severity: test.severity,
evidence: test.evidence
});
}
}
// Interview personnel
const interviews = await this.conductInterviews(standard);
report.observations.push(...interviews.observations);
// Sample testing
const samples = await this.sampleTesting(standard);
report.findings.push(...samples.findings);
// Generate recommendations
report.recommendations = this.generateRecommendations(report);
report.endDate = new Date();
await this.finalizeReport(report);
return report;
}
async testControl(control: Control): Promise<ControlTest> {
const test: ControlTest = {
controlId: control.id,
testDate: new Date(),
method: control.testMethod,
sampleSize: 0,
passed: 0,
failed: 0,
effective: false
};
// Determine sample size
test.sampleSize = this.calculateSampleSize(control);
// Get test samples
const samples = await this.getSamples(control, test.sampleSize);
// Test each sample
for (const sample of samples) {
const result = await this.testSample(control, sample);
if (result.passed) {
test.passed++;
} else {
test.failed++;
test.failures = test.failures || [];
test.failures.push(result);
}
}
// Determine effectiveness
const passRate = test.passed / test.sampleSize;
test.effective = passRate >= control.threshold;
return test;
}
}
```
## Evidence Collection
### Evidence Management
```typescript
class EvidenceManagement {
async collectEvidence(control: Control): Promise<Evidence> {
const evidence: Evidence = {
id: generateId(),
controlId: control.id,
collectionDate: new Date(),
type: control.evidenceType,
location: '',
artifacts: []
};
switch (control.evidenceType) {
case 'LOGS':
evidence.artifacts = await this.collectLogs(control);
break;
case 'SCREENSHOTS':
evidence.artifacts = await this.collectScreenshots(control);
break;
case 'DOCUMENTS':
evidence.artifacts = await this.collectDocuments(control);
break;
case 'QUERIES':
evidence.artifacts = await this.executeQueries(control);
break;
case 'AUTOMATED':
evidence.artifacts = await this.runAutomatedTests(control);
break;
}
// Store evidence
evidence.location = await this.storeEvidence(evidence);
// Create hash for integrity
evidence.hash = await this.calculateHash(evidence);
// Sign evidence
evidence.signature = await this.signEvidence(evidence);
return evidence;
}
async prepareAuditPackage(auditRequest: AuditRequest): Promise<AuditPackage> {
const package: AuditPackage = {
requestId: auditRequest.id,
created: new Date(),
controls: [],
evidence: [],
reports: []
};
// Collect evidence for each control
for (const controlId of auditRequest.controls) {
const control = await this.getControl(controlId);
const evidence = await this.collectEvidence(control);
package.controls.push(control);
package.evidence.push(evidence);
}
// Generate reports
package.reports.push(await this.generateControlReport(package));
package.reports.push(await this.generateRiskReport(package));
package.reports.push(await this.generateComplianceReport(package));
// Create archive
const archive = await this.createArchive(package);
// Upload to secure location
await this.uploadPackage(archive);
return package;
}
}
```
## Compliance Monitoring
### Continuous Compliance Monitoring
```typescript
class ContinuousCompliance {
async monitorCompliance(): Promise<ComplianceStatus> {
const status: ComplianceStatus = {
timestamp: new Date(),
frameworks: {},
overallScore: 0,
issues: [],
trends: []
};
// Check each framework
for (const framework of this.frameworks) {
const score = await this.assessFramework(framework);
status.frameworks[framework.name] = score;
// Check for issues
if (score.percentage < framework.threshold) {
status.issues.push({
framework: framework.name,
score: score.percentage,
gap: framework.threshold - score.percentage,
controls: score.failedControls
});
}
}
// Calculate overall score
status.overallScore = this.calculateOverallScore(status.frameworks);
// Analyze trends
status.trends = await this.analyzeTrends();
// Generate alerts
if (status.issues.length > 0) {
await this.generateAlerts(status.issues);
}
// Update dashboard
await this.updateDashboard(status);
return status;
}
async generateComplianceReport(): Promise<ComplianceReport> {
const report: ComplianceReport = {
period: this.getReportingPeriod(),
executive_summary: '',
compliance_status: {},
findings: [],
remediation_plans: [],
metrics: {}
};
// Collect data
const data = await this.collectComplianceData();
// Executive summary
report.executive_summary = this.generateExecutiveSummary(data);
// Detailed status
report.compliance_status = {
soc2: await this.getSOC2Status(),
iso27001: await this.getISO27001Status(),
gdpr: await this.getGDPRStatus()
};
// Findings
report.findings = await this.consolidateFindings();
// Remediation plans
report.remediation_plans = await this.getRemediationPlans();
// Metrics
report.metrics = {
controlsImplemented: data.totalControls,
controlsEffective: data.effectiveControls,
complianceScore: (data.effectiveControls / data.totalControls) * 100,
openFindings: report.findings.filter(f => f.status === 'OPEN').length,
avgRemediationTime: this.calculateAvgRemediationTime()
};
return report;
}
}
```
## Reporting
### Compliance Dashboard
```typescript
interface ComplianceDashboard {
overview: {
complianceScore: number;
frameworks: Framework[];
controls: ControlSummary;
risks: RiskSummary;
};
metrics: {
controlEffectiveness: ChartData;
complianceTrends: ChartData;
riskHeatmap: HeatmapData;
auditCalendar: CalendarData;
};
alerts: Alert[];
actions: ActionItem[];
}
class ComplianceReporting {
async generateExecutiveReport(): Promise<ExecutiveReport> {
return {
title: 'Compliance Executive Report',
period: this.getCurrentQuarter(),
highlights: [
'SOC 2 Type II certification maintained',
'ISO 27001 surveillance audit passed',
'Zero critical compliance findings',
'98.5% control effectiveness rate'
],
compliance_posture: {
overall_score: 98.5,
by_framework: {
soc2: 99.2,
iso27001: 98.1,
gdpr: 98.3
}
},
key_risks: [
{
risk: 'Third-party vendor compliance',
status: 'MONITORING',
mitigation: 'Quarterly assessments implemented'
}
],
upcoming_audits: [
{
audit: 'SOC 2 Type II Annual',
date: '2025-01-15',
preparation: 'ON_TRACK'
}
],
recommendations: [
'Enhance automated compliance monitoring',
'Expand security awareness training',
'Implement zero-trust architecture'
]
};
}
}
```
## Appendix
### Compliance Checklist
- [ ] All policies reviewed and updated
- [ ] Controls implemented and tested
- [ ] Evidence collected and organized
- [ ] Risk assessments completed
- [ ] Access reviews conducted
- [ ] Security training completed
- [ ] Audit preparations complete
- [ ] Incident response plan tested
- [ ] Business continuity plan tested
- [ ] Compliance metrics tracked
- [ ] Dashboard updated
- [ ] Reports generated
- [ ] Management review conducted
- [ ] Corrective actions implemented
- [ ] Continuous improvement documented
### Compliance Contacts
| Role | Name | Email | Phone |
|------|------|-------|-------|
| Chief Compliance Officer | John Smith | cco@enterprise.com | +1-555-0100 |
| SOC 2 Lead | Jane Doe | soc2@enterprise.com | +1-555-0101 |
| ISO 27001 Lead | Bob Johnson | iso27001@enterprise.com | +1-555-0102 |
| Data Protection Officer | Alice Williams | dpo@enterprise.com | +1-555-0103 |
| Internal Auditor | Charlie Brown | audit@enterprise.com | +1-555-0104 |
### Audit Calendar
| Month | Audit Type | Framework | Auditor |
|-------|------------|-----------|---------|
| January | External | SOC 2 Type II | Deloitte |
| February | External | ISO 27001 | BSI |
| March | Internal | GDPR | Internal Audit |
| April | Internal | Security Controls | Internal Audit |
| May | External | Penetration Test | CrowdStrike |
| June | Internal | Access Review | Internal Audit |
| July | External | SOC 2 Type II | Deloitte |
| August | Internal | Risk Assessment | Risk Management |
| September | Internal | GDPR | Internal Audit |
| October | Internal | Security Controls | Internal Audit |
| November | External | ISO 27001 Surveillance | BSI |
| December | Internal | Annual Review | All Teams |
### Resources
- [SOC 2 Trust Service Criteria](https://www.aicpa.org/interestareas/frc/assuranceadvisoryservices/trustservicescriteria)
- [ISO/IEC 27001:2022](https://www.iso.org/standard/27001)
- [NIST Cybersecurity Framework](https://www.nist.gov/cyberframework)
- [GDPR Compliance](https://gdpr.eu/)
- [Cloud Security Alliance](https://cloudsecurityalliance.org/)
## Document Control
| Version | Date | Author | Changes |
|---------|------|--------|---------|
| 1.0 | 2024-01-01 | Compliance Team | Initial version |
| 1.1 | 2024-03-01 | Security Team | Added ISO 27001 controls |
| 1.2 | 2024-06-01 | Legal Team | Updated GDPR requirements |
| 1.3 | 2024-09-01 | Compliance Team | Quarterly review updates |
| 2.0 | 2024-12-01 | All Teams | Annual review and update |
**Document Classification**: Confidential
**Distribution**: Compliance Team, Security Team, Executive Management
**Review Frequency**: Quarterly
**Next Review Date**: 2025-03-01