What are compliance policies?
Compliance policies form the core foundations of many well-known standards and regulations such as SOC 2 and ISO 27001. These policies set out clear rules on how data, security, and business practices should be managed to maintain compliance and protect sensitive information.
Every policy has a defined purpose, outlining the specific requirements an organisation must follow. The scope of a policy helps to determine which areas of a business (employees, systems, etc.) it applies to. Compliance policies are crucial because they help organisations meet legal obligations, protect against security threats, ensure operational consistency, and build trust with customers and partners.
Example policies include, but are not limited to:
Data protection policies, which ensure that personal and business data is handled securely in line with regulations such as GDPR and the UK Data Protection Act.
Information security policies help define how data is stored, accessed, and protected against cyber threats.
Access control policies restrict who can access sensitive systems and data based on their role and associated responsibilities.
Acceptable use policies govern how employees use company systems and devices, ensuring they do not pose security risks.
Incident response policies outline the steps to take in the event of a security breach.
Risk management policies identify and mitigate potential threats to compliance.
Businesses seeking certification with compliance standards may need to either create these policies from scratch, or adjust pre-existing templates or documents in order to demonstrate adherence to the requirements of standards such as ISO 27001, SOC 2 etc.
During a compliance audit these policies are carefully reviewed to ensure they are being implemented correctly. Auditors will examine documentation, processes, and evidence of compliance, such as access logs, security controls, and training records. If any gaps or inconsistencies are found, businesses will need to address these shortcomings before scheduling another audit.
Every policy has a defined purpose, outlining the specific requirements an organisation must follow. The scope of a policy helps to determine which areas of a business (employees, systems, etc.) it applies to. Compliance policies are crucial because they help organisations meet legal obligations, protect against security threats, ensure operational consistency, and build trust with customers and partners.
Example policies include, but are not limited to:
Data protection policies, which ensure that personal and business data is handled securely in line with regulations such as GDPR and the UK Data Protection Act.
Information security policies help define how data is stored, accessed, and protected against cyber threats.
Access control policies restrict who can access sensitive systems and data based on their role and associated responsibilities.
Acceptable use policies govern how employees use company systems and devices, ensuring they do not pose security risks.
Incident response policies outline the steps to take in the event of a security breach.
Risk management policies identify and mitigate potential threats to compliance.
Businesses seeking certification with compliance standards may need to either create these policies from scratch, or adjust pre-existing templates or documents in order to demonstrate adherence to the requirements of standards such as ISO 27001, SOC 2 etc.
During a compliance audit these policies are carefully reviewed to ensure they are being implemented correctly. Auditors will examine documentation, processes, and evidence of compliance, such as access logs, security controls, and training records. If any gaps or inconsistencies are found, businesses will need to address these shortcomings before scheduling another audit.
Updated on: 21/03/2025
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