Criticality High Active

Compliance Program Management

Establishes a comprehensive compliance program with governance, processes, and resources to identify, manage, monitor, and demonstrate adherence to all applicable statutory, regulatory, and contractual obligations.

Control ID
CMP-001
Domain Code
CMP
Control Nature
Detective
Business Owner
CISO / Compliance Officer
Category
Administrative
Compensating Control
No

Control Overview

CMP-001 · Full Control Profile
Business Description

Establish and maintain a program to identify, manage, and monitor adherence to all applicable laws, regulations, and contractual obligations.

Business Objective

To prevent legal and regulatory penalties and protect the organization's reputation.

Business Benefits

    Business Risks if Missing

      Stakeholders, Industries & Technologies

      CMP-001 · Operating Context

      Primary Stakeholders

      Applicable Industries

      Applicable Technologies

      Mapped Regulatory & Industry Frameworks

      Harmonized Framework Mappings

      The following compliance and regulatory frameworks map directly to this control's governance scope.

      FRAMEWORK CODE FRAMEWORK NAME & DESCRIPTION FAMILY / CATEGORY VERSION ACTION
      COBIT2019 COBIT COBIT is an enterprise governance and management f...
      COBIT
      Governance Framework
      		 v2019 View →
      DORA Digital Operational Resilience Act The EU Digital Operational Resilience Act establis...
      EU
      Regulation
      		 vCurrent View →
      GDPR General Data Protection Regulation (GDPR) The General Data Protection Regulation is a bindin...
      EU
      Regulation
      		 vCurrent View →
      IRDAI IRDAI Information & Cyber Security Guidelines IRDAI information and cyber-security requirements...
      India
      Guideline
      		 vLatest View →
      ISO22301 ISO/IEC 22301 ISO 22301 specifies requirements for a Business Co...
      ISO
      Standard
      		 v2019 View →
      ISO27001 ISO/IEC 27001 ISO/IEC 27001 specifies auditable requirements for...
      ISO
      Standard
      		 v2022 View →
      ISO27002 ISO/IEC 27002 ISO/IEC 27002 is a guidance standard containing a...
      ISO
      Standard
      		 v2022 View →
      NIST-CSF NIST Cybersecurity Framework (CSF) The NIST Cybersecurity Framework provides high-lev...
      NIST
      Framework
      		 v2 View →
      NIST80053 NIST SP 800-53 NIST SP 800-53 Rev. 5 presents control families, i...
      NIST
      Control Catalog
      		 vRev. 5 View →
      NPCI-ISR NPCI Information Security Requirements NPCI information-security requirements define cont...
      India
      Standard
      		 vLatest View →
      RBI-CSF RBI Cyber Security Framework / Master Directions RBI cyber-security requirements and directions set...
      India
      Regulation
      		 vLatest View →
      SEBI-CSCRF SEBI Cyber Security & Cyber Resilience Framework SEBI’s Cybersecurity and Cyber Resilience Framewor...
      India
      Regulation
      		 vLatest View →
      SOC2 SOC 2 Trust Services Criteria SOC 2 is an independent examination and reporting...
      AICPA
      Audit Framework
      		 vLatest View →
      PCI-DSS PCI DSS PCI DSS is an industry security standard maintaine...
      PCI
      Standard
      		 v4 View →
      NIS2 NIS2 Directive The NIS2 Directive establishes EU-wide cybersecuri...
      EU
      Directive
      		 vCurrent View →

      Parent Domain Context

      Governance Domain Baseline
      Domain Name:
      Compliance Management (CMP)
      Purpose:
      To ensure adherence to applicable laws, regulations, and contractual obligations.
      Scope:
      Enterprise
      View

      Compliance Requirements & Audit Crosswalk

      10 Specific Audit Clauses

      The following requirements dictate specific audit evidence criteria and testing steps mapped directly under this control.

      REQUIREMENT ID REQUIREMENT TITLE & DETAILS MAPPED CONTROL TYPICAL OWNER ACTION
      CMP-001-R001 Compliance Program Framework The organization shall establish a compl... CMP-001 Compliance Program Management Chief Compliance Officer, Compliance Management View ↗
      CMP-001-R002 Compliance Governance The organization shall establish governa... CMP-001 Compliance Program Management Chief Compliance Officer, Compliance Management View ↗
      CMP-001-R003 Compliance Scope The organization shall define and mainta... CMP-001 Compliance Program Management Chief Compliance Officer, Compliance Management View ↗
      CMP-001-R004 Compliance Roles and Responsibilities The organization shall clearly define an... CMP-001 Compliance Program Management Chief Compliance Officer, Compliance Management View ↗
      CMP-001-R005 Compliance Planning The organization shall conduct formal pl... CMP-001 Compliance Program Management Chief Compliance Officer, Compliance Management View ↗
      CMP-001-R006 Compliance Program Execution The organization shall execute the compl... CMP-001 Compliance Program Management Chief Compliance Officer, Compliance Management View ↗
      CMP-001-R007 Compliance Resource Management The organization shall manage resources... CMP-001 Compliance Program Management Chief Compliance Officer, Compliance Management View ↗
      CMP-001-R008 Compliance Performance Monitoring The organization shall monitor the perfo... CMP-001 Compliance Program Management Chief Compliance Officer, Compliance Management View ↗
      CMP-001-R009 Compliance Program Review The organization shall conduct periodic... CMP-001 Compliance Program Management Chief Compliance Officer, Compliance Management View ↗
      CMP-001-R010 Compliance Program Continuous Improvement The organization shall drive ongoing enh... CMP-001 Compliance Program Management Chief Compliance Officer, Compliance Management, Control Owners View ↗