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Security Incident Management Audit Program
"Need a Security Incident Management Audit Program for our financial services company that specifically addresses cloud infrastructure security and compliance with FCA requirements, to be implemented by March 2025."
1. Audit Scope and Objectives: Defines the boundaries and goals of the security incident management audit program, including systems, processes, and timeframes to be covered
2. Audit Methodology: Details the approach, tools, techniques, and standards used in conducting security incident management audits
3. Compliance Requirements: Comprehensive listing of applicable laws, regulations, and standards including DPA 2018, UK GDPR, NIS Regulations, and industry-specific requirements
4. Roles and Responsibilities: Defines key stakeholders, audit team composition, and their respective duties in the audit process
5. Audit Frequency and Schedule: Establishes the timing and frequency of audits, including regular assessments and trigger events for additional reviews
6. Documentation Requirements: Specifies the required documentation, evidence collection methods, and record-keeping standards
7. Reporting and Communication: Details the format, content, and distribution of audit findings and recommendations
8. Corrective Action Process: Outlines procedures for addressing identified deficiencies and tracking remediation efforts
1. Industry-Specific Controls: Additional controls and requirements specific to regulated industries such as financial services, healthcare, or critical infrastructure
2. Third-Party Assessment: Framework for evaluating security incident management capabilities of external service providers and partners
3. Cloud Security Controls: Specialized controls and considerations for cloud-based services and infrastructure security incident management
4. Remote Work Considerations: Additional controls and procedures for auditing incident management in remote work environments
1. Schedule A - Audit Checklist: Comprehensive checklist of control points and verification steps for security incident management audits
2. Schedule B - Incident Response Templates: Standard forms and procedures for documenting and categorizing security incidents
3. Schedule C - Risk Assessment Matrix: Framework for evaluating and categorizing security risks and their potential impact
4. Schedule D - Regulatory Compliance Mapping: Detailed matrix showing alignment between controls and various regulatory requirements
5. Schedule E - Audit Report Templates: Standardized formats for documenting audit findings, recommendations, and follow-up actions
6. Schedule F - Key Performance Indicators: Metrics and measurements for evaluating the effectiveness of security incident management processes
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