Criticality High Active

Compliance Reporting

Establishes regular reporting processes to communicate compliance status, findings, remediation progress, and regulatory interactions to management, governance bodies, and regulators.

Control ID
CMP-005
Domain Code
CMP
Control Nature
Detective
Business Owner
Compliance Officer
Category
Administrative
Compensating Control
No

Control Overview

CMP-005 · Full Control Profile
Business Description

Provide regular compliance status reporting to management and, where required, to regulators.

Business Objective

To demonstrate regulatory compliance and provide assurance to leadership.

Business Benefits

    Business Risks if Missing

      Stakeholders, Industries & Technologies

      CMP-005 · 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 →
      CERT-IN CERT-In Directions The CERT-In Directions issued under India’s Inform...
      India
      Direction
      		 v2022 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-005-R001 Compliance Reporting Framework The organization shall establish a compl... CMP-005 Compliance Reporting Chief Compliance Officer, Compliance Management, Reporting Owners View ↗
      CMP-005-R002 Reporting Scope The organization shall define a document... CMP-005 Compliance Reporting Chief Compliance Officer, Compliance Management, Reporting Owners View ↗
      CMP-005-R003 Reporting Content The organization shall define content re... CMP-005 Compliance Reporting Chief Compliance Officer, Compliance Management, Reporting Owners View ↗
      CMP-005-R004 Reporting Frequency The organization shall establish reporti... CMP-005 Compliance Reporting Chief Compliance Officer, Compliance Management, Reporting Owners View ↗
      CMP-005-R005 Executive Compliance Reporting The organization shall provide executive... CMP-005 Compliance Reporting Chief Compliance Officer, Compliance Management, Reporting Owners View ↗
      CMP-005-R006 Regulatory Compliance Reporting The organization shall prepare and submi... CMP-005 Compliance Reporting Chief Compliance Officer, Compliance Management, Reporting Owners View ↗
      CMP-005-R007 Compliance Dashboard Reporting The organization shall develop and maint... CMP-005 Compliance Reporting Chief Compliance Officer, Compliance Management, Reporting Owners View ↗
      CMP-005-R008 Report Validation The organization shall validate complian... CMP-005 Compliance Reporting Chief Compliance Officer, Compliance Management, Reporting Owners View ↗
      CMP-005-R009 Reporting Review The organization shall conduct periodic... CMP-005 Compliance Reporting Chief Compliance Officer, Compliance Management, Reporting Owners View ↗
      CMP-005-R010 Reporting Continuous Improvement The organization shall drive ongoing enh... CMP-005 Compliance Reporting Chief Compliance Officer, Compliance Management, Reporting Owners View ↗