1 · Purpose
This policy establishes the requirements for legal and regulatory compliance policy within the CAO-800 Regulatory Compliance. It gives effect, in a single harmonised instrument, to the control objectives upon which recognised standards converge for this area.
2 · Scope
This policy applies to all information, systems, services, personnel and third parties within the scope of the management system.
3 · Policy statements
3.x · CAO-810 Policy Controls
The organisation shall establish, implement and maintain a coherent and effective approach to legal and regulatory compliance, giving effect to the organisational control objectives set out below.
3.1 · CAO-811 Legal and Regulatory Obligations
The organisation shall establish, implement and maintain effective Legal and Regulatory Obligations, giving effect to the organisational controls set out below.
3.1.x · CAO-811 Organisational Controls
Essential taster — a preview of the Professional depth for this high-density control area.
3.2 · CAO-812 Cyber-Crime and Incident Reporting
The organisation shall establish, implement and maintain effective Cyber-Crime and Incident Reporting, giving effect to the organisational controls set out below.
3.2.x · CAO-812 Organisational Controls
Essential taster — a preview of the Professional depth for this high-density control area.
3.3 · CAO-813 Information Access Compliance
The organisation shall establish, implement and maintain effective Information Access Compliance, giving effect to the organisational controls set out below.
3.3.x · CAO-813 Organisational Controls
4 · Roles & responsibilities
- Governing body — approves this policy and oversees its effectiveness.
- Executive management — allocates resources and assigns control ownership.
- Control owners — implement, operate and evidence the controls in their area.
- All personnel & third parties — comply with this policy within their role.
5 · Compliance, monitoring & review
Compliance with this policy is mandatory. This policy is reviewed at least annually, or upon significant change to the threat, regulatory or technological environment. Exceptions require documented risk acceptance by the accountable owner.