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A Hitchhiker's Guide to Cybersecurity Compliance
by Patricia de HemricourtOctober 3rd, 2024
Too Long; Didn't Read
Lost in compliance? Don’t panic! Here’s your guide to taming regulations across the galaxy of cybersecurity—with wit, wisdom, and a towel.
Welcome to the cybersecurity compliance maze—where one wrong click can cost you your job, your savings, or even that embarrassing collection of cat memes you’ve worked so hard to amass. The cybersecurity compliance maze is a labyrinth where each region, sector, and industry throws in its own set of unique challenges—because why would they make it easy, right?
But don’t panic, just comply!
We've put together this grand tour of cybersecurity standards, regulations, and voluntary frameworks, all conveniently divided and served with descriptions, regional quirks, key rules, and links to source texts. It's like a travel guide staying out of regulatory jail.
Enjoy if you can!
1. Financial Services Compliance
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Gramm-Leach-Bliley Act (GLBA) [USA] The GLBA, enacted in 1999, focuses on safeguarding consumer financial privacy. It applies to financial institutions like banks, credit unions, and securities firms.
- Privacy Notices: Annual disclosure of privacy practices.
- Data Protection: Implementation of security measures to protect Non-public Personal Information (NPI).
- Third-Party Oversight: Monitor third parties with NPI access.
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Payment Card Industry Data Security Standard (PCI DSS) [Global: USA, EMEA, APAC, LATAM] PCI DSS is applicable globally for organizations handling payment card transactions such as retailers, financial institutions, and e-commerce businesses.
- Data Encryption: Protect cardholder data in transmission and storage.
- Regular Audits: Conduct regular assessments and maintain network security.
- Network Security: Apply controls to prevent data breaches.
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Sarbanes-Oxley Act (SOX) [USA, Global for US-listed companies] SOX primarily applies to publicly traded companies globally listed on US exchanges, focusing on ensuring financial data accuracy and reliability.
- Internal Controls: Companies must establish controls for data integrity.
- Data Retention: Secure retention of financial records.
- Whistleblower Protections: Safeguards for individuals reporting issues.
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SEC Regulation S-P [USA, Global for SEC-registered entities] Applies to brokers, dealers, and investment firms registered with the SEC, both in the USA and foreign entities that deal with US clients.
- Privacy Notices: Provide regular updates on data sharing policies.
- Data Protection: Enforce security measures against unauthorized access.
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Commodity Futures Trading Commission (CFTC) System Safeguards [USA, Global for CFTC-registered entities] Applies to derivatives clearing organizations globally that are regulated by the CFTC.
- Annual Compliance Reporting: Requires submission to the CFTC.
- Penetration Testing: Regular internal and external testing.
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MiFID II (Markets in Financial Instruments Directive) [EMEA, Global for financial institutions dealing with EU] MiFID II aims to increase transparency in the financial markets, applicable to EU member states and foreign entities providing services in the EU.
- Data Recording and Reporting: Requires robust recording and reporting of trades to ensure transparency.
- Investor Protection: Imposes rules to safeguard investor data.
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Payment Services Directive 2 (PSD2) [EMEA, Global for organizations providing financial services in the EU] PSD2 enhances consumer rights and secure electronic payments, applicable to financial institutions in the EU and foreign companies providing payment services.
- Strong Customer Authentication (SCA): Requires multi-factor authentication for payments.
- Third-Party Access: Allows third-party providers access to payment services.
2. Healthcare Compliance
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Health Insurance Portability and Accountability Act (HIPAA) [USA, Global for US-based healthcare entities] HIPAA applies to healthcare providers, insurers, and businesses handling US patient data worldwide.
- Privacy Rule: Limits how Protected Health Information (PHI) is used.
- Security Rule: Requires safeguards for electronic PHI.
- Breach Notification: Mandates reporting of data breaches.
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Health Information Technology for Economic and Clinical Health Act (HITECH) [USA, Global for US-related operations] Extends HIPAA regulations and emphasizes the secure use of electronic health records (EHRs).
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EHR Meaningful Use: Promotes secure use and adoption of EHRs.
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Enhanced Penalties: Higher penalties for data breaches and violations.
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FDA Regulations for Clinical Investigations (21 CFR Part 11) [USA, Global for US-sponsored trials] Applies to organizations involved in US FDA-regulated clinical investigations, including international research organizations.
- Data Integrity: Ensures accuracy and integrity of electronic records.
- Audit Trails: Requires tracking of all changes made to electronic records.
3. Government and Public Sector Compliance
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Federal Information Security Management Act (FISMA) [USA, Global for US contractors] Applies to US federal agencies and contractors, setting standards for protecting federal data.
- Risk Management: Focus on identifying and mitigating risks.
- Continuous Monitoring: Requires ongoing security assessments.
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Homeland Security Act [USA, Applicable for foreign entities dealing with US critical infrastructure] Applies to public and private entities involved in US critical infrastructure protection.
- DHS Authority: Empowers the Department of Homeland Security to oversee cybersecurity.
- Information Sharing: Promotes collaboration to protect critical sectors.
4. Retail and E-Commerce Compliance
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California Consumer Privacy Act (CCPA) [USA, Global for businesses handling California resident data] The CCPA applies to companies worldwide that process the personal data of California residents.
- Consumer Rights: Grants California residents the right to access and delete data.
- Data Handling Disclosure: Mandates disclosure of data practices.
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Children’s Online Privacy Protection Act (COPPA) [USA, Global for websites targeting US children] COPPA protects children under 13 by regulating online data collection.
- Parental Consent: Requires parental consent for data collection.
- Privacy Notices: Sites must disclose data use practices for children.
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Fair and Accurate Credit Transactions Act (FACTA) [USA, Global for organizations handling US consumer credit data] FACTA applies to companies handling US consumer data, primarily to prevent identity theft.
- Red Flag Rules: Requires measures to identify potential identity theft.
- Data Disposal: Requires secure disposal of consumer information.
5. General Data Protection and Security
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General Data Protection Regulation (GDPR) [EMEA, Global for organizations handling EU resident data] GDPR applies to organizations globally if they handle EU resident data, making it critical for data protection.
- Data Protection Principles: Emphasizes transparency, data minimization, and accountability.
- Data Subject Rights: Grants rights to access, rectify, and delete data.
- General Data Protection Law (LGPD) [Brazil] The LGPD, effective since 2020, applies to any organization processing data of Brazilian residents, similar to the GDPR.
- Data Protection Rights: Grants individuals rights to access, correct, and delete their data.
- Data Breach Notification: Requires companies to notify the Brazilian National Data Protection Authority of data breaches.
- Lawful Basis for Processing: Establishes lawful bases for data processing, including consent and legitimate interest.
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ISO/IEC 27001 [Global: USA, EMEA, APAC, LATAM] An internationally recognized standard applicable to organizations worldwide for managing information security.
- Risk Management: Identifies and mitigates information security risks.
- ISMS Implementation: Establishes a structured information security management system.
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NIST Cybersecurity Framework (CSF) [USA, Global for organizations adopting NIST standards] Provides guidelines for managing cybersecurity risks, applicable to entities in both public and private sectors globally.
- Core Functions: Focuses on Identify, Protect, Detect, Respond, and Recover.
- Flexible Application: Can be customized based on organizational needs.
6. Technology and Telecommunications Compliance
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Electronic Communications Privacy Act (ECPA) [USA, Global for US-related communication services] Regulates privacy of electronic communications, such as email, with applicability to companies providing services in the US.
- Warrant Requirements: Restricts law enforcement access to communications.
- Privacy Provisions: Requires specific circumstances for accessing stored data.
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Computer Fraud and Abuse Act (CFAA) [USA, Global applicability for offenses involving US systems] Targets unauthorized access to computer systems, applicable to anyone accessing US systems unlawfully.
- Unauthorized Access: Prohibits unauthorized computer access.
- Penalties: Includes fines and imprisonment for offenders.
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Telecommunications Act of 1996 [USA, Global for entities operating within the US telecommunications market] The Telecommunications Act of 1996 is a landmark piece of legislation that governs the telecommunications industry in the USA. It promotes competition while setting regulations related to privacy and cybersecurity, particularly in telecommunications networks.
- Competition and Consumer Protection: Encourages competition in the telecommunications market, leading to improved cybersecurity practices.
- Network Access and Security: Establishes regulations around the secure interconnection of networks and access protocols.
- Emergency Services Requirement: Mandates that emergency services are accessible and protected, requiring robust network security.
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Defense Federal Acquisition Regulation Supplement (DFARS) [USA, Global for contractors working with the DoD]
DFARS applies to all contractors and subcontractors working with the U.S. Department of Defense (DoD). It mandates adherence to cybersecurity standards to protect Controlled Unclassified Information (CUI).
- NIST SP 800-171: Compliance with NIST Special Publication 800-171 is required to secure CUI.
- Security Controls: Implements strict controls on how data is managed, including system audits, multi-factor authentication, and data encryption.
Penalties for Non-Compliance: Failure to comply can lead to contract termination or debarment.
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Cybersecurity Maturity Model Certification (CMMC) [USA, Global for organizations involved with DoD] CMMC is a unified standard for implementing cybersecurity across the defense industrial base. It is designed to ensure that contractors working with the DoD have adequate cybersecurity practices in place.
- Maturity Levels: Five maturity levels range from basic cyber hygiene to advanced security, depending on the sensitivity of data handled.
- Third-Party Certification: Requires independent certification for compliance.
- Data Protection: Implements controls to ensure that sensitive defense data is adequately protected.
7. Voluntary Cybersecurity Frameworks and Industry Standards
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ISO/IEC 27002 [Global: USA, EMEA, APAC, LATAM] ISO/IEC 27002 is part of the ISO/IEC 27000 family and provides guidelines to organizations on how to implement security controls based on risk assessments.
- Comprehensive Controls: Offers a set of information security controls including physical security, personnel security, and access control.
- Guidance on Implementation: Helps organizations tailor controls based on their specific risk profile.
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Center for Internet Security (CIS) Controls [Global: USA, EMEA, APAC, LATAM] The CIS Controls are a globally recognized set of cybersecurity best practices developed by a community of experts. These controls are frequently updated based on the latest cybersecurity threats.
- Basic, Foundational, and Organizational Controls: Divided into tiers to help organizations prioritize their cybersecurity strategies.
- Benchmarking: Provides benchmarking to help entities assess their security posture.
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COBIT (Control Objectives for Information and Related Technologies) [Global: USA, EMEA, APAC, LATAM] Developed by ISACA, COBIT is an IT governance framework designed to help businesses develop, implement, and manage information governance strategies.
- IT Governance and Control: Helps align IT strategy with organizational goals while maintaining cybersecurity.
- Process Guidelines: Includes detailed guidelines on managing and monitoring IT performance.
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SOC 2 (System and Organization Controls 2) [Global: USA, EMEA, APAC, LATAM] SOC 2 is a framework for auditing service providers regarding their information systems' controls relating to security, availability, confidentiality, and privacy.
- Trust Service Criteria: Assesses the effectiveness of security controls to ensure client data is managed securely.
- Audit Requirements: Requires an independent third-party audit to validate compliance.
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Cyber Resilience Act (Proposed) [EMEA, Global for entities doing business in the EU] The Cyber Resilience Act is a proposed regulation designed to improve the security of hardware and software products.
- Baseline Security Requirements: Sets mandatory cybersecurity requirements for product developers.
- Certification: Establishes a certification framework to demonstrate compliance with security standards.
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Digital Operational Resilience Act (DORA) [EMEA, Global for financial institutions in the EU] DORA aims to strengthen the digital operational resilience of the financial sector by ensuring that financial entities can withstand all types of ICT-related disruptions and threats.
- Incident Management and Reporting: Requires financial institutions to establish, test, and report on incident response capabilities.
- Third-Party Risk Management: Sets out requirements for monitoring third-party providers’ cybersecurity capabilities.
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ePrivacy Directive (EU Directive 2002/58/EC) [EMEA, Global for entities handling EU resident data] The ePrivacy Directive focuses on ensuring privacy in the processing of personal data in electronic communications, applicable to entities globally if they interact with EU residents.
- Cookie Compliance: Mandates consent for storing cookies and similar tracking technologies.
- Communications Privacy: Protects the confidentiality of communications and requires user consent for electronic marketing.
8. Other Industry-Specific Standards
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FDA Part 11 Compliance (21 CFR Part 11) [USA, Global for organizations conducting clinical trials] This regulation applies to clinical research and ensures that electronic records and signatures used in clinical investigations are as reliable as paper records.
- Electronic Record Integrity: Ensures that electronic records used for clinical trials are accurate and reliable.
- Access Control: Mandates secure access control measures to maintain the integrity of records.
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FFIEC IT Examination Handbook [USA, Applicable globally for financial services involving US institutions] This handbook provides guidance to examiners for evaluating financial institutions’ IT systems, covering aspects such as cybersecurity and risk management.
- IT Governance: Evaluates IT governance and risk management frameworks.
- Assessment Tools: Provides tools for assessing institutions' cybersecurity preparedness.
2. LATAM-Specific Standards
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General Data Protection Law (LGPD) [Brazil] The LGPD, effective since 2020, applies to any organization processing data of Brazilian residents, similar to the GDPR.
- Data Protection Rights: Grants individuals the rights to access, correct, and delete their data.
- Data Breach Notification: Requires companies to notify the Brazilian National Data Protection Authority of data breaches.
- Lawful Basis for Processing: Establishes lawful bases for data processing, including consent and legitimate interest.
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National Cybersecurity Strategy (E-Ciber) [Brazil] E-Ciber aims to mitigate cyberattacks and establish cybersecurity resilience across industries.
- Cybersecurity Awareness: Promotes awareness and education.
- Risk Mitigation: Provides guidelines to reduce vulnerability to cyber threats.
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Cybersecurity and Critical Information Infrastructure Framework Law [Chile] Enacted in 2024, this law is applicable to critical infrastructure operators in Chile.
- National Cybersecurity Agency (ANCI): Establishes ANCI for regulatory oversight.
- Incident Response: Requires covered entities to implement cybersecurity plans and conduct regular incident simulations.
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Colombian National Digital Security Policy (CONPES 3854) [Colombia] Focuses on establishing digital security measures for both public and private entities in Colombia.
- Incident Reporting: Mandates public and private sector collaboration on incident reporting.
- Risk Management: Establishes procedures for addressing cybersecurity risks.
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National Cybersecurity Policy 2023-2028 [Chile] This policy aims to enhance cybersecurity across all sectors, from government to private businesses.
- Awareness and Training: Encourages increased cybersecurity awareness.
- Implementation of Security Protocols: Requires organizations to implement security standards.
3. APAC-Specific Standards
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Essential Eight [Australia] The Essential Eight is a set of mitigation strategies designed to protect Australian organizations from cyber threats.
- Mitigation Strategies: Includes application whitelisting, patch application, and restricted administrative privileges.
- Risk Management: Helps organizations prioritize risk mitigation.
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Singapore Cybersecurity Act [Singapore, APAC] Enforced in 2018 and recently amended, this act regulates critical information infrastructure and other entities involved in the digital economy.
- Licensing and Regulation: Requires critical information infrastructure owners to comply with cybersecurity measures.
- Incident Reporting: Mandates reporting of cybersecurity incidents to the Cyber Security Agency of Singapore (CSA).
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Personal Data Protection Act (PDPA) [Singapore, APAC] The PDPA governs the collection, use, and disclosure of personal data, applicable to organizations in Singapore.
- Data Protection Obligations: Organizations must ensure proper management of personal data.
- Consent Requirement: Requires consent for data collection and use.
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Digital Personal Data Protection Bill [India, APAC] Passed in 2023, this law aims to regulate data protection across India, similar to GDPR.
- Data Protection Rights: Provides rights such as consent, correction, and erasure.
- Compliance Requirements: Obligates organizations to comply with data security standards.
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Cybersecurity Management Act [Taiwan] Recently amended, this act applies to government agencies and critical infrastructure operators in Taiwan.
- Compliance Measures: Organizations must adopt specific cybersecurity measures.
- Penalties for Non-Compliance: Establishes fines for entities failing to comply.
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Presidential Regulation Number 47 of 2023 on Cyber Crisis Management and National Cybersecurity Strategy [Indonesia] This regulation establishes a national approach to cybersecurity incident response.
- Crisis Management: Establishes crisis response teams for cyber incidents.
- Collaboration: Promotes collaboration between public and private sectors.
4. Regional Standards for EMEA, LATAM, and APAC
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Network and Information Security (NIS) Directive/NIS2 [EMEA, Global for businesses serving the EU market] Establishes measures for the security of network and information systems across the EU.
- Incident Notification: Mandates timely incident reporting to authorities.
- Risk Management: Requires implementing appropriate risk management measures.
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African Union Convention on Cyber Security and Personal Data Protection (Malabo Convention) [Africa, EMEA] Establishes a framework for cybersecurity and data protection across African Union member states.
- Data Protection Measures: Establishes standards for personal data protection.
- Cybercrime Prevention: Provides guidelines for preventing and managing cyber incidents.
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Asia-Pacific Economic Cooperation (APEC) Privacy Framework [APAC, Global for cross-border data transfers] The APEC Privacy Framework focuses on protecting data privacy and enabling cross-border data flows within APAC.
- Information Privacy Principles: Encourages member countries to adopt similar data protection standards.
- Cross-Border Privacy Rules: Establishes rules for safe data transfer.
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ASEAN Cybersecurity Cooperation Strategy [APAC] Encourages alignment of ASEAN countries' cybersecurity policies with international standards such as GDPR.
- Capacity Building: Enhances the capacity of member states to respond to cyber threats.
- Data Protection: Emphasizes data protection measures and secure data storage.
5. General Data Protection and Security (Continued)
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ISO/IEC 27032 [Global: USA, EMEA, APAC, LATAM] Provides guidelines on cybersecurity for organizations globally.
- Cybersecurity Risk Management: Addresses risks in cyberspace, including guidelines for incident response.
- Stakeholder Collaboration: Encourages collaboration among stakeholders to improve cybersecurity posture.
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Cybersecurity Information Sharing Act (CISA) [USA, Global for entities sharing threat information with US authorities] Promotes the sharing of cybersecurity threat information between the private sector and the US government.
- Information Sharing: Encourages collaboration to enhance defense mechanisms.
Privacy Protections: Ensures protection of personal data during threat sharing.
Congratulations! You made it through this regulatory jungle without throwing your laptop out the window. Now, if you’ve truly absorbed all these cybersecurity standards, you may have developed a few new superpowers—decoding legalese or spotting compliance gaps from a mile away, translating regulatory jargon into human language, converting vague compliance guidelines into precise checklists, and then some.
You’re now a Master of Intergalactic Compliance.
L O A D I N G
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