Az Policy Advertizer

Azure_Security_Benchmark_v2.0

NS-1

Azure_Security_Benchmark_v2.0_NS-1

Azure Security Benchmark NS-1

Network Security

Implement security for internal traffic

Customer

Ensure that all Azure virtual networks follow an enterprise segmentation principle that aligns to the business risks. Any system that could incur higher risk for the organization should be isolated within its own virtual network and sufficiently secured with either a network security group (NSG) and/or Azure Firewall. Based on your applications and enterprise segmentation strategy, restrict or allow traffic between internal resources based on network security group rules. For specific well-defined applications (such as a 3-tier app), this can be a highly secure "deny by default, permit by exception" approach. This might not scale well if you have many applications and endpoints interacting with each other. You can also use Azure Firewall in circumstances where central management is required over a large number of enterprise segments or spokes (in a hub/spoke topology). Use Azure Security Center Adaptive Network Hardening to recommend network security group configurations that limit ports and source IPs based with the reference to external network traffic rules. Use Azure Sentinel to discover the use of legacy insecure protocols such as SSL/TLSv1, SMBv1, LM/NTLMv1, wDigest, Unsigned LDAP Binds, and weak ciphers in Kerberos. How to create a network security group with security rules: https://docs.microsoft.com/azure/virtual-network/tutorial-filter-network-traffic How to deploy and configure Azure Firewall: https://docs.microsoft.com/azure/firewall/tutorial-firewall-deploy-portal Adaptive Network Hardening in Azure Security Center: https://docs.microsoft.com/azure/security-center/security-center-adaptive-network-hardening Azure Sentinel insecure protocols workbook:https://docs.microsoft.com/azure/sentinel/quickstart-get-visibility#use-built-in-workbooks

n/a

Azure_Security_Benchmark_v3.0

NS-3

Azure_Security_Benchmark_v3.0_NS-3

Microsoft cloud security benchmark NS-3

Network Security

Deploy firewall at the edge of enterprise network

Shared

**Security Principle:** Deploy a firewall to perform advanced filtering on network traffic to and from external networks. You can also use firewalls between internal segments to support a segmentation strategy. If required, use custom routes for your subnet to override the system route when you need to force the network traffic to go through a network appliance for security control purpose. At a minimum, block known bad IP addresses and high-risk protocols, such as remote management (for example, RDP and SSH) and intranet protocols (for example, SMB and Kerberos). **Azure Guidance:** Use Azure Firewall to provide fully stateful application layer traffic restriction (such as URL filtering) and/or central management over a large number of enterprise segments or spokes (in a hub/spoke topology). If you have a complex network topology, such as a hub/spoke setup, you may need to create user-defined routes (UDR) to ensure the traffic goes through the desired route. For example, you have option to use an UDR to redirect egress internet traffic through a specific Azure Firewall or a network virtual appliance. **Implementation and additional context:** How to deploy Azure Firewall: https://docs.microsoft.com/azure/firewall/tutorial-firewall-deploy-portal Virtual network traffic routing: https://docs.microsoft.com/azure/virtual-network/virtual-networks-udr-overview

n/a

CIS_Azure_2.0.0

6.1

CIS_Azure_2.0.0_6.1

CIS Microsoft Azure Foundations Benchmark recommendation 6.1

Ensure that RDP access from the Internet is evaluated and restricted

Shared

n/a

Network security groups should be periodically evaluated for port misconfigurations. Where certain ports and protocols may be exposed to the Internet, they should be evaluated for necessity and restricted wherever they are not explicitly required. The potential security problem with using RDP over the Internet is that attackers can use various brute force techniques to gain access to Azure Virtual Machines. Once the attackers gain access, they can use a virtual machine as a launch point for compromising other machines on an Azure Virtual Network or even attack networked devices outside of Azure.

CIS_Azure_2.0.0

6.2

CIS_Azure_2.0.0_6.2

CIS Microsoft Azure Foundations Benchmark recommendation 6.2

Ensure that SSH access from the Internet is evaluated and restricted

Shared

n/a

Network security groups should be periodically evaluated for port misconfigurations. Where certain ports and protocols may be exposed to the Internet, they should be evaluated for necessity and restricted wherever they are not explicitly required. The potential security problem with using SSH over the Internet is that attackers can use various brute force techniques to gain access to Azure Virtual Machines. Once the attackers gain access, they can use a virtual machine as a launch point for compromising other machines on the Azure Virtual Network or even attack networked devices outside of Azure.

CIS_Azure_Foundations_v2.1.0

6.1

CIS_Azure_Foundations_v2.1.0_6.1

CIS Azure Foundations v2.1.0 6.1

Networking

Ensure that RDP access from the Internet is evaluated and restricted

Shared

n/a

Ensure that RDP access from the Internet is evaluated and restricted.

CIS_Azure_Foundations_v2.1.0

6.2

CIS_Azure_Foundations_v2.1.0_6.2

CIS Azure Foundations v2.1.0 6.2

Networking

Ensure that SSH access from the Internet is evaluated and restricted

Shared

n/a

Ensure that SSH access from the Internet is evaluated and restricted.

CIS_Controls_v8.1

4.1

CIS_Controls_v8.1_4.1

CIS Controls v8.1 4.1

Secure Configuration of Enterprise Assets and Software

Establish and maintain a secure configuration process.

Shared

1. Establish and maintain a secure configuration process for enterprise assets (end-user devices, including portable and mobile; non-computing/IoT devices; and servers) and software (operating systems and applications). 2. Review and update documentation annually, or when significant enterprise changes occur that could impact this safeguard.

To ensure data integrity and safety of enterprise assets.

CIS_Controls_v8.1

4.4

CIS_Controls_v8.1_4.4

CIS Controls v8.1 4.4

Secure Configuration of Enterprise Assets and Software

Implement and manage a firewall on servers.

Shared

1. Implement and manage a firewall on servers, where supported. 2. Example implementations include a virtual firewall, operating system firewall, or a third-party firewall agent.

To strengthen network security on servers.

CIS_Controls_v8.1

4.5

CIS_Controls_v8.1_4.5

CIS Controls v8.1 4.5

Secure Configuration of Enterprise Assets and Software

Implement and manage a firewall on end-user devices.

Shared

Implement and manage a host-based firewall or port-filtering tool on end-user devices, with a default-deny rule that drops all traffic except those services and ports that are explicitly allowed.

To strengthen network security on end-user devices.

AC.L2-3.1.3

CMMC_2.0_L2_AC.L2-3.1.3

404 not found

n/a

SC.L1-3.13.1

CMMC_2.0_L2_SC.L1-3.13.1

404 not found

n/a

SC.L1-3.13.5

CMMC_2.0_L2_SC.L1-3.13.5

404 not found

n/a

SC.L2-3.13.2

CMMC_2.0_L2_SC.L2-3.13.2

404 not found

n/a

CMMC_L2_v1.9.0_SC.L2_3.13.15

SC.L2-3.13.6

CMMC_2.0_L2_SC.L2-3.13.6

404 not found

n/a

CMMC_L2_v1.9.0

SC.L2_3.13.15

Cybersecurity Maturity Model Certification (CMMC) Level 2 v1.9.0 SC.L2 3.13.15

System and Communications Protection

Communications Authenticity

Shared

Protect the authenticity of communications sessions.

To prevent unauthorized access, tampering, or interception of sensitive information.

CCC_03

CSA_v4.0.12_CCC_03

CSA Cloud Controls Matrix v4.0.12 CCC 03

Change Control and Configuration Management

Change Management Technology

Shared

n/a

Manage the risks associated with applying changes to organization assets, including application, systems, infrastructure, configuration, etc., regardless of whether the assets are managed internally or externally (i.e., outsourced).

CCC_04

CSA_v4.0.12_CCC_04

CSA Cloud Controls Matrix v4.0.12 CCC 04

Change Control and Configuration Management

Unauthorized Change Protection

Shared

n/a

Restrict the unauthorized addition, removal, update, and management of organization assets.

IAM_02

CSA_v4.0.12_IAM_02

CSA Cloud Controls Matrix v4.0.12 IAM 02

Identity & Access Management

Strong Password Policy and Procedures

Shared

n/a

Establish, document, approve, communicate, implement, apply, evaluate and maintain strong password policies and procedures. Review and update the policies and procedures at least annually.

IAM_04

CSA_v4.0.12_IAM_04

CSA Cloud Controls Matrix v4.0.12 IAM 04

Identity & Access Management

Separation of Duties

Shared

n/a

Employ the separation of duties principle when implementing information system access.

IAM_06

CSA_v4.0.12_IAM_06

CSA Cloud Controls Matrix v4.0.12 IAM 06

Identity & Access Management

User Access Provisioning

Shared

n/a

Define and implement a user access provisioning process which authorizes, records, and communicates access changes to data and assets.

IAM_07

CSA_v4.0.12_IAM_07

CSA Cloud Controls Matrix v4.0.12 IAM 07

Identity & Access Management

User Access Changes and Revocation

Shared

n/a

De-provision or respectively modify access of movers / leavers or system identity changes in a timely manner in order to effectively adopt and communicate identity and access management policies.

IAM_10

CSA_v4.0.12_IAM_10

CSA Cloud Controls Matrix v4.0.12 IAM 10

Identity & Access Management

Management of Privileged Access Roles

Shared

n/a

Define and implement an access process to ensure privileged access roles and rights are granted for a time limited period, and implement procedures to prevent the culmination of segregated privileged access.

IAM_13

CSA_v4.0.12_IAM_13

CSA Cloud Controls Matrix v4.0.12 IAM 13

Identity & Access Management

Uniquely Identifiable Users

Shared

n/a

Define, implement and evaluate processes, procedures and technical measures that ensure users are identifiable through unique IDs or which can associate individuals to the usage of user IDs.

IAM_16

CSA_v4.0.12_IAM_16

CSA Cloud Controls Matrix v4.0.12 IAM 16

Identity & Access Management

Authorization Mechanisms

Shared

n/a

Define, implement and evaluate processes, procedures and technical measures to verify access to data and system functions is authorized.

TVM_04

CSA_v4.0.12_TVM_04

CSA Cloud Controls Matrix v4.0.12 TVM 04

Threat & Vulnerability Management

Detection Updates

Shared

n/a

Define, implement and evaluate processes, procedures and technical measures to update detection tools, threat signatures, and indicators of compromise on a weekly, or more frequent basis.

Cyber_Essentials_v3.1_1

Cyber Essentials v3.1 1

Cyber Essentials

Firewalls

Shared

n/a

Aim: to make sure that only secure and necessary network services can be accessed from the internet.

Cyber_Essentials_v3.1_2

Cyber Essentials v3.1 2

Cyber Essentials

Secure Configuration

Shared

n/a

Aim: ensure that computers and network devices are properly configured to reduce vulnerabilities and provide only the services required to fulfill their role.

Cyber_Essentials_v3.1_3

Cyber Essentials v3.1 3

Cyber Essentials

Security Update Management

Shared

n/a

Aim: ensure that devices and software are not vulnerable to known security issues for which fixes are available.

Cyber_Essentials_v3.1_5

Cyber Essentials v3.1 5

Cyber Essentials

Malware protection

Shared

n/a

Aim: to restrict execution of known malware and untrusted software, from causing damage or accessing data.

EU_2555_(NIS2)_2022

EU_2555_(NIS2)_2022_21

EU 2022/2555 (NIS2) 2022 21

Cybersecurity risk-management measures

Shared

n/a

Requires essential and important entities to take appropriate measures to manage cybersecurity risks.

193

EU_GDPR_2016_679_Art._24

EU General Data Protection Regulation (GDPR) 2016/679 Art. 24

Chapter 4 - Controller and processor

Responsibility of the controller

Shared

n/a

310

EU_GDPR_2016_679_Art._25

EU General Data Protection Regulation (GDPR) 2016/679 Art. 25

Chapter 4 - Controller and processor

Data protection by design and by default

Shared

n/a

310

EU_GDPR_2016_679_Art._28

EU General Data Protection Regulation (GDPR) 2016/679 Art. 28

Chapter 4 - Controller and processor

Processor

Shared

n/a

310

FBI_Criminal_Justice_Information_Services_v5.9.5_5

EU_GDPR_2016_679_Art._32

EU General Data Protection Regulation (GDPR) 2016/679 Art. 32

Chapter 4 - Controller and processor

Security of processing

Shared

n/a

310

FBI_Criminal_Justice_Information_Services_v5.9.5_5.1

FBI Criminal Justice Information Services (CJIS) v5.9.5 5.1

Policy and Implementation - Systems And Communications Protection

Systems And Communications Protection

Shared

In addition, applications, services, or information systems must have the capability to ensure system integrity through the detection and protection against unauthorized changes to software and information.

Examples of systems and communications safeguards range from boundary and transmission protection to securing an agency's virtualized environment.

110

FBI_Criminal_Justice_Information_Services_v5.9.5_5

FBI_Criminal_Justice_Information_Services_v5.9.5_5.5

FBI Criminal Justice Information Services (CJIS) v5.9.5 5.5

Policy and Implementation - Access Control

Access Control

Shared

Refer to Section 5.13.6 for additional access control requirements related to mobile devices used to access CJI.

Access control provides the planning and implementation of mechanisms to restrict reading, writing, processing, and transmission of CJIS information and the modification of information systems, applications, services and communication configurations allowing access to CJIS information.

FBI_Criminal_Justice_Information_Services_v5.9.5_5

FBI_Criminal_Justice_Information_Services_v5.9.5_5.7

404 not found

n/a

FedRAMP_High_R4

AC-4

FedRAMP_High_R4_AC-4

FedRAMP High AC-4

Access Control

Information Flow Enforcement

Shared

n/a

The information system enforces approved authorizations for controlling the flow of information within the system and between interconnected systems based on [Assignment: organization-defined information flow control policies]. Supplemental Guidance: Information flow control regulates where information is allowed to travel within an information system and between information systems (as opposed to who is allowed to access the information) and without explicit regard to subsequent accesses to that information. Flow control restrictions include, for example, keeping export-controlled information from being transmitted in the clear to the Internet, blocking outside traffic that claims to be from within the organization, restricting web requests to the Internet that are not from the internal web proxy server, and limiting information transfers between organizations based on data structures and content. Transferring information between information systems representing different security domains with different security policies introduces risk that such transfers violate one or more domain security policies. In such situations, information owners/stewards provide guidance at designated policy enforcement points between interconnected systems. Organizations consider mandating specific architectural solutions when required to enforce specific security policies. Enforcement includes, for example: (i) prohibiting information transfers between interconnected systems (i.e., allowing access only); (ii) employing hardware mechanisms to enforce one-way information flows; and (iii) implementing trustworthy regarding mechanisms to reassign security attributes and security labels. Organizations commonly employ information flow control policies and enforcement mechanisms to control the flow of information between designated sources and destinations (e.g., networks, individuals, and devices) within information systems and between interconnected systems. Flow control is based on the characteristics of the information and/or the information path. Enforcement occurs, for example, in boundary protection devices (e.g., gateways, routers, guards, encrypted tunnels, firewalls) that employ rule sets or establish configuration settings that restrict information system services, provide a packet-filtering capability based on header information, or message- filtering capability based on message content (e.g., implementing key word searches or using document characteristics). Organizations also consider the trustworthiness of filtering/inspection mechanisms (i.e., hardware, firmware, and software components) that are critical to information flow enforcement. Control enhancements 3 through 22 primarily address cross-domain solution needs which focus on more advanced filtering techniques, in-depth analysis, and stronger flow enforcement mechanisms implemented in cross-domain products, for example, high-assurance guards. Such capabilities are generally not available in commercial off-the-shelf information technology products. Related controls: AC-3, AC-17, AC-19, AC-21, CM-6, CM-7, SA-8, SC-2, SC-5, SC-7, SC-18. References: None.

FedRAMP_High_R4

SC-7

FedRAMP_High_R4_SC-7

FedRAMP High SC-7

System And Communications Protection

Boundary Protection

Shared

n/a

The information system: a. Monitors and controls communications at the external boundary of the system and at key internal boundaries within the system; b. Implements subnetworks for publicly accessible system components that are [Selection: physically; logically] separated from internal organizational networks; and c. Connects to external networks or information systems only through managed interfaces consisting of boundary protection devices arranged in accordance with an organizational security architecture. Supplemental Guidance: Managed interfaces include, for example, gateways, routers, firewalls, guards, network-based malicious code analysis and virtualization systems, or encrypted tunnels implemented within a security architecture (e.g., routers protecting firewalls or application gateways residing on protected subnetworks). Subnetworks that are physically or logically separated from internal networks are referred to as demilitarized zones or DMZs. Restricting or prohibiting interfaces within organizational information systems includes, for example, restricting external web traffic to designated web servers within managed interfaces and prohibiting external traffic that appears to be spoofing internal addresses. Organizations consider the shared nature of commercial telecommunications services in the implementation of security controls associated with the use of such services. Commercial telecommunications services are commonly based on network components and consolidated management systems shared by all attached commercial customers, and may also include third party-provided access lines and other service elements. Such transmission services may represent sources of increased risk despite contract security provisions. Related controls: AC-4, AC-17, CA-3, CM-7, CP-8, IR-4, RA-3, SC-5, SC-13. References: FIPS Publication 199; NIST Special Publications 800-41, 800-77.

FedRAMP_High_R4

SC-7(3)

FedRAMP_High_R4_SC-7(3)

FedRAMP High SC-7 (3)

System And Communications Protection

Access Points

Shared

n/a

The organization limits the number of external network connections to the information system. Supplemental Guidance: Limiting the number of external network connections facilitates more comprehensive monitoring of inbound and outbound communications traffic. The Trusted Internet Connection (TIC) initiative is an example of limiting the number of external network connections.

FedRAMP_Moderate_R4

AC-4

FedRAMP_Moderate_R4_AC-4

FedRAMP Moderate AC-4

Access Control

Information Flow Enforcement

Shared

n/a

FedRAMP_Moderate_R4

SC-7

FedRAMP_Moderate_R4_SC-7

FedRAMP Moderate SC-7

System And Communications Protection

Boundary Protection

Shared

n/a

FedRAMP_Moderate_R4_SC-7(3)

FedRAMP_Moderate_R4

SC-7(3)

FedRAMP Moderate SC-7 (3)

System And Communications Protection

Access Points

Shared

n/a

hipaa-1143.01c1System.123-01.c

FFIEC_CAT_2017

3.1.1

FFIEC_CAT_2017_3.1.1

FFIEC CAT 2017 3.1.1

Cybersecurity Controls

Infrastructure Management

Shared

n/a

- Network perimeter defense tools (e.g., border router and firewall) are used. - Systems that are accessed from the Internet or by external parties are protected by firewalls or other similar devices. - All ports are monitored. - Up to date antivirus and anti-malware tools are used. - Systems configurations (for servers, desktops, routers, etc.) follow industry standards and are enforced. - Ports, functions, protocols and services are prohibited if no longer needed for business purposes. - Access to make changes to systems configurations (including virtual machines and hypervisors) is controlled and monitored. - Programs that can override system, object, network, virtual machine, and application controls are restricted. - System sessions are locked after a pre-defined period of inactivity and are terminated after pre-defined conditions are met. - Wireless network environments require security settings with strong encryption for authentication and transmission. (*N/A if there are no wireless networks.)

hipaa

1143.01c1System.123-01.c

1143.01c1System.123-01.c

11 Access Control

1143.01c1System.123-01.c 01.02 Authorized Access to Information Systems

Shared

n/a

Privileges are formally authorized and controlled, allocated to users on a need-to-use and event-by-event basis for their functional role (e.g., user or administrator), and documented for each system product/element.

hipaa

1150.01c2System.10-01.c

hipaa-1150.01c2System.10-01.c

1150.01c2System.10-01.c

11 Access Control

1150.01c2System.10-01.c 01.02 Authorized Access to Information Systems

Shared

n/a

The access control system for the system components storing, processing or transmitting covered information is set with a default "deny-all" setting.

hipaa

1193.01l2Organizational.13-01.l

hipaa-1193.01l2Organizational.13-01.l

1193.01l2Organizational.13-01.l

11 Access Control

1193.01l2Organizational.13-01.l 01.04 Network Access Control

Shared

n/a

Controls for the access to diagnostic and configuration ports include the use of a key lock and the implementation of supporting procedures to control physical access to the port.

01.c

HITRUST_CSF_v11.3_01.c

HITRUST CSF v11.3 01.c

Authorized Access to Information Systems

Control privileged access to information systems and services.

Shared

1. Privileged role assignments to be automatically tracked and monitored. 2. Role-based access controls to be implemented and should be capable of mapping each user to one or more roles, and each role to one or more system functions. 3. Critical security functions to be executable only after granting of explicit authorization.

The allocation and use of privileges to information systems and services shall be restricted and controlled. Special attention shall be given to the allocation of privileged access rights, which allow users to override system controls.

01.l

HITRUST_CSF_v11.3_01.l

HITRUST CSF v11.3 01.l

Network Access Control

Prevent unauthorized access to networked services.

Shared

Ports, services, and applications installed on a computer or network systems, which are not specifically required for business functionality, to be disabled or removed.

Physical and logical access to diagnostic and configuration ports shall be controlled.

09.j

HITRUST_CSF_v11.3_09.j

HITRUST CSF v11.3 09.j

Protection Against Malicious and Mobile Code

Ensure that integrity of information and software is protected from malicious or unauthorized code

Shared

1. Technologies are to be implemented for timely installation, upgrade and renewal of anti-malware protective measures. 2. Automatic periodic scans of information systems is to be implemented. 3. Anti-malware software that offers a centralized infrastructure that compiles information on file reputations is to be implemented. 4. Post-malicious code update, signature deployment, scanning files, email, and web traffic is to be verified by automated systems, while BYOD users require anti-malware, network-based malware detection is to be used on servers without host-based solutions use. 5. Anti-malware audit logs checks to be performed. 6. Protection against malicious code is to be based on malicious code detection and repair software, security awareness, appropriate system access, and change management controls.

Detection, prevention, and recovery controls shall be implemented to protect against malicious code, and appropriate user awareness procedures on malicious code shall be provided.

09.m

HITRUST_CSF_v11.3_09.m

HITRUST CSF v11.3 09.m

Network Security Management

Ensure the protection of information in networks and protection of the supporting network infrastructure.

Shared

1. Vendor default encryption keys, default SNMP community strings on wireless devices, default passwords/passphrases on access points, and other security-related wireless vendor defaults is to be changed prior to authorization of implementation of wireless access points. 2. Wireless encryption keys to be changed when anyone with knowledge of the keys leaves or changes. 3. All authorized and unauthorized wireless access to the information system is to be monitored and installation of wireless access points (WAP) is to be prohibited unless explicitly authorized.

Networks shall be managed and controlled in order to protect the organization from threats and to maintain security for the systems and applications using the network, including information in transit.

New_Zealand_ISM_14.1.8.C.01

10.m

HITRUST_CSF_v11.3_10.m

HITRUST CSF v11.3 10.m

Technical Vulnerability Management

Reduce the risks resulting from exploitation of published technical vulnerabilities, technical vulnerability management shall be implemented in an effective, systematic, and repeatable way with measurements taken to confirm its effectiveness.

Shared

1. The necessary secure services, protocols required for the function of the system are to be enabled. 2. Security features to be implemented for any required services that are considered to be insecure. 3. Laptops, workstations, and servers to be configured so they will not auto-run content from removable media. 4. Configuration standards to be consistent with industry-accepted system hardening standards. 5. An enterprise security posture review within every 365 days is to be conducted. 6. Vulnerability scanning tools to be regularly updated with all relevant information system vulnerabilities.

Timely information about technical vulnerabilities of information systems being used shall be obtained; the organization’s exposure to such vulnerabilities evaluated; and appropriate measures taken to address the associated risk.

mp.com.1 Secure perimeter

404 not found

n/a

New_Zealand_ISM

14.1.8.C.01

14. Software security

14.1.8.C.01 Developing hardened SOEs

n/a

Agencies SHOULD develop a hardened SOE for workstations and servers, covering several requirements detailed here https://www.nzism.gcsb.govt.nz/ism-document#SubSection-15020

NIS2

PV._Posture_and_Vulnerability_Management_5

NIS2_PV._Posture_and_Vulnerability_Management_5

PV. Posture and Vulnerability Management

Security in network and information systems acquisition, development and maintenance, including vulnerability handling and disclosure

n/a

missing value

.1.3

NIST_SP_800-171_R2_3.1.3

NIST SP 800-171 R2 3.1.3

Access Control

Control the flow of CUI in accordance with approved authorizations.

Shared

Microsoft and the customer share responsibilities for implementing this requirement.

Information flow control regulates where information can travel within a system and between systems (versus who can access the information) and without explicit regard to subsequent accesses to that information. Flow control restrictions include the following: keeping export-controlled information from being transmitted in the clear to the Internet; blocking outside traffic that claims to be from within the organization; restricting requests to the Internet that are not from the internal web proxy server; and limiting information transfers between organizations based on data structures and content. Organizations commonly use information flow control policies and enforcement mechanisms to control the flow of information between designated sources and destinations (e.g., networks, individuals, and devices) within systems and between interconnected systems. Flow control is based on characteristics of the information or the information path. Enforcement occurs in boundary protection devices (e.g., gateways, routers, guards, encrypted tunnels, firewalls) that employ rule sets or establish configuration settings that restrict system services, provide a packet-filtering capability based on header information, or message-filtering capability based on message content (e.g., implementing key word searches or using document characteristics). Organizations also consider the trustworthiness of filtering and inspection mechanisms (i.e., hardware, firmware, and software components) that are critical to information flow enforcement. Transferring information between systems representing different security domains with different security policies introduces risk that such transfers violate one or more domain security policies. In such situations, information owners or stewards provide guidance at designated policy enforcement points between interconnected systems. Organizations consider mandating specific architectural solutions when required to enforce specific security policies. Enforcement includes: prohibiting information transfers between interconnected systems (i.e., allowing access only); employing hardware mechanisms to enforce one-way information flows; and implementing trustworthy regrading mechanisms to reassign security attributes and security labels.

NIST_SP_800-171_R2_3.13.1

.13.1

NIST SP 800-171 R2 3.13.1

System and Communications Protection

Monitor, control, and protect communications (i.e., information transmitted or received by organizational systems) at the external boundaries and key internal boundaries of organizational systems.

Shared

Microsoft and the customer share responsibilities for implementing this requirement.

Communications can be monitored, controlled, and protected at boundary components and by restricting or prohibiting interfaces in organizational systems. Boundary components include gateways, routers, firewalls, guards, network-based malicious code analysis and virtualization systems, or encrypted tunnels implemented within a system security architecture (e.g., routers protecting firewalls or application gateways residing on protected subnetworks). Restricting or prohibiting interfaces in organizational systems includes restricting external web communications traffic to designated web servers within managed interfaces and prohibiting external traffic that appears to be spoofing internal addresses. Organizations consider the shared nature of commercial telecommunications services in the implementation of security requirements associated with the use of such services. Commercial telecommunications services are commonly based on network components and consolidated management systems shared by all attached commercial customers and may also include third party-provided access lines and other service elements. Such transmission services may represent sources of increased risk despite contract security provisions. [SP 800-41] provides guidance on firewalls and firewall policy. [SP 800-125B] provides guidance on security for virtualization technologies. [28] There is no prescribed format or specified level of detail for system security plans. However, organizations ensure that the required information in 3.12.4 is conveyed in those plans.

NIST_SP_800-171_R2_3.13.2

.13.2

NIST SP 800-171 R2 3.13.2

System and Communications Protection

Employ architectural designs, software development techniques, and systems engineering principles that promote effective information security within organizational systems.

Shared

Microsoft and the customer share responsibilities for implementing this requirement.

Organizations apply systems security engineering principles to new development systems or systems undergoing major upgrades. For legacy systems, organizations apply systems security engineering principles to system upgrades and modifications to the extent feasible, given the current state of hardware, software, and firmware components within those systems. The application of systems security engineering concepts and principles helps to develop trustworthy, secure, and resilient systems and system components and reduce the susceptibility of organizations to disruptions, hazards, and threats. Examples of these concepts and principles include developing layered protections; establishing security policies, architecture, and controls as the foundation for design; incorporating security requirements into the system development life cycle; delineating physical and logical security boundaries; ensuring that developers are trained on how to build secure software; and performing threat modeling to identify use cases, threat agents, attack vectors and patterns, design patterns, and compensating controls needed to mitigate risk. Organizations that apply security engineering concepts and principles can facilitate the development of trustworthy, secure systems, system components, and system services; reduce risk to acceptable levels; and make informed risk-management decisions. [SP 800-160-1] provides guidance on systems security engineering.

NIST_SP_800-171_R2_3.13.5

.13.5

NIST SP 800-171 R2 3.13.5

System and Communications Protection

Implement subnetworks for publicly accessible system components that are physically or logically separated from internal networks.

Shared

Microsoft and the customer share responsibilities for implementing this requirement.

Subnetworks that are physically or logically separated from internal networks are referred to as demilitarized zones (DMZs). DMZs are typically implemented with boundary control devices and techniques that include routers, gateways, firewalls, virtualization, or cloud-based technologies. [SP 800-41] provides guidance on firewalls and firewall policy. [SP 800-125B] provides guidance on security for virtualization technologies

NIST_SP_800-171_R2_3.13.6

.13.6

NIST SP 800-171 R2 3.13.6

System and Communications Protection

Deny network communications traffic by default and allow network communications traffic by exception (i.e., deny all, permit by exception).

Shared

Microsoft and the customer share responsibilities for implementing this requirement.

This requirement applies to inbound and outbound network communications traffic at the system boundary and at identified points within the system. A deny-all, permit-by-exception network communications traffic policy ensures that only those connections which are essential and approved are allowed.

.1.2

NIST_SP_800-171_R3_3.1.2

NIST 800-171 R3 3.1.2

Access Control

Access Enforcement

Shared

Access control policies control access between active entities or subjects (i.e., users or system processes acting on behalf of users) and passive entities or objects (i.e., devices, files, records, domains) in organizational systems. Types of system access include remote access and access to systems that communicate through external networks, such as the internet. Access enforcement mechanisms can also be employed at the application and service levels to provide increased protection for CUI. This recognizes that the system can host many applications and services in support of mission and business functions.

Enforce approved authorizations for logical access to CUI and system resources.

NIST_SP_800-171_R3_3.13.15

.13.15

NIST 800-171 R3 3.13.15

System and Communications Protection Control

Session Authenticity

Shared

Protecting session authenticity addresses communications protection at the session level, not at the packet level. Such protection establishes grounds for confidence at both ends of the communications sessions in the ongoing identities of other parties and the validity of the transmitted information. Authenticity protection includes protecting against “adversary-in-the-middle” attacks, session hijacking, and the insertion of false information into sessions.

Protect the authenticity of communications sessions.

.4.6

NIST_SP_800-171_R3_3.4.6

404 not found

n/a

.5.5

NIST_SP_800-171_R3_3.5.5

404 not found

n/a

NIST_SP_800-53_R4

AC-4

NIST_SP_800-53_R4_AC-4

NIST SP 800-53 Rev. 4 AC-4

Access Control

Information Flow Enforcement

Shared

n/a

NIST_SP_800-53_R4

SC-7

NIST_SP_800-53_R4_SC-7

NIST SP 800-53 Rev. 4 SC-7

System And Communications Protection

Boundary Protection

Shared

n/a

NIST_SP_800-53_R4_SC-7(3)

NIST_SP_800-53_R4

SC-7(3)

NIST SP 800-53 Rev. 4 SC-7 (3)

System And Communications Protection

Access Points

Shared

n/a

NIST_SP_800-53_R5.1.1_AC.3

NIST_SP_800-53_R5.1.1

AC.3

NIST SP 800-53 R5.1.1 AC.3

Access Control

Access Enforcement

Shared

Enforce approved authorizations for logical access to information and system resources in accordance with applicable access control policies.

Access control policies control access between active entities or subjects (i.e., users or processes acting on behalf of users) and passive entities or objects (i.e., devices, files, records, domains) in organizational systems. In addition to enforcing authorized access at the system level and recognizing that systems can host many applications and services in support of mission and business functions, access enforcement mechanisms can also be employed at the application and service level to provide increased information security and privacy. In contrast to logical access controls that are implemented within the system, physical access controls are addressed by the controls in the Physical and Environmental Protection (PE) family.

NIST_SP_800-53_R5.1.1

CM.7

NIST_SP_800-53_R5.1.1_CM.7

NIST SP 800-53 R5.1.1 CM.7

Configuration Management Control

Least Functionality

Shared

a. Configure the system to provide only [Assignment: organization-defined mission essential capabilities]; and b. Prohibit or restrict the use of the following functions, ports, protocols, software, and/or services: [Assignment: organization-defined prohibited or restricted functions, system ports, protocols, software, and/or services].

Systems provide a wide variety of functions and services. Some of the functions and services routinely provided by default may not be necessary to support essential organizational missions, functions, or operations. Additionally, it is sometimes convenient to provide multiple services from a single system component, but doing so increases risk over limiting the services provided by that single component. Where feasible, organizations limit component functionality to a single function per component. Organizations consider removing unused or unnecessary software and disabling unused or unnecessary physical and logical ports and protocols to prevent unauthorized connection of components, transfer of information, and tunneling. Organizations employ network scanning tools, intrusion detection and prevention systems, and end-point protection technologies, such as firewalls and host-based intrusion detection systems, to identify and prevent the use of prohibited functions, protocols, ports, and services. Least functionality can also be achieved as part of the fundamental design and development of the system (see SA-8, SC-2, and SC-3).

NIST_SP_800-53_R5.1.1

SC.23

NIST_SP_800-53_R5.1.1_SC.23

NIST SP 800-53 R5.1.1 SC.23

System and Communications Protection

Session Authenticity

Shared

Protect the authenticity of communications sessions.

Protecting session authenticity addresses communications protection at the session level, not at the packet level. Such protection establishes grounds for confidence at both ends of communications sessions in the ongoing identities of other parties and the validity of transmitted information. Authenticity protection includes protecting against “man-in-the-middle” attacks, session hijacking, and the insertion of false information into sessions.

NIST_SP_800-53_R5

AC-4

NIST_SP_800-53_R5_AC-4

NIST SP 800-53 Rev. 5 AC-4

Access Control

Information Flow Enforcement

Shared

n/a

Enforce approved authorizations for controlling the flow of information within the system and between connected systems based on [Assignment: organization-defined information flow control policies].

NIST_SP_800-53_R5

SC-7

NIST_SP_800-53_R5_SC-7

NIST SP 800-53 Rev. 5 SC-7

System and Communications Protection

Boundary Protection

Shared

n/a

a. Monitor and control communications at the external managed interfaces to the system and at key internal managed interfaces within the system; b. Implement subnetworks for publicly accessible system components that are [Selection: physically;logically] separated from internal organizational networks; and c. Connect to external networks or systems only through managed interfaces consisting of boundary protection devices arranged in accordance with an organizational security and privacy architecture.

NIST_SP_800-53_R5_SC-7(3)

NIST_SP_800-53_R5

SC-7(3)

NIST SP 800-53 Rev. 5 SC-7 (3)

System and Communications Protection

Access Points

Shared

n/a

Limit the number of external network connections to the system.

NZ_ISM_v3.5

SS-2

NZ_ISM_v3.5_SS-2

NZISM Security Benchmark SS-2

Software security

14.1.8 Developing hardened SOEs

Customer

n/a

Antivirus and anti-malware software, while an important defensive measure, can be defeated by malicious code that has yet to be identified by antivirus vendors. This can include targeted attacks, where a new virus is engineered or an existing one modified to defeat the signature-based detection schemes. The use of antivirus and anti-malware software, while adding value to the defence of workstations, cannot be relied solely upon to protect the workstation. As such agencies still need to deploy appropriately hardened SOEs to assist with the protection of workstations against a broader range of security risks.

NZISM_Security_Benchmark_v1.1

SS-2

NZISM_Security_Benchmark_v1.1_SS-2

NZISM Security Benchmark SS-2

Software security

14.1.8 Developing hardened SOEs

Customer

Agencies SHOULD develop a hardened SOE for workstations and servers, covering: removal of unneeded software and operating system components; removal or disabling of unneeded services, ports and BIOS settings; disabling of unused or undesired functionality in software and operating systems; implementation of access controls on relevant objects to limit system users and programs to the minimum access required; installation of antivirus and anti-malware software; installation of software-based firewalls limiting inbound and outbound network connections; configuration of either remote logging or the transfer of local event logs to a central server; and protection of audit and other logs through the use of a one way pipe to reduce likelihood of compromise key transaction records.

14.1.10.C.01.

NZISM_v3.7_14.1.10.C.01.

NZISM v3.7 14.1.10.C.01.

Standard Operating Environments

14.1.10.C.01. - reduce potential vulnerabilities.

Shared

n/a

Agencies MUST reduce potential vulnerabilities in their SOEs by: 1. removing unused accounts; 2. renaming or deleting default accounts; and 3. replacing default passwords before or during the installation process.

14.1.10.C.02.

NZISM_v3.7_14.1.10.C.02.

NZISM v3.7 14.1.10.C.02.

Standard Operating Environments

14.1.10.C.02. - reduce potential vulnerabilities.

Shared

n/a

Agencies SHOULD reduce potential vulnerabilities in their SOEs by: 1. removing unused accounts; 2. renaming or deleting default accounts; and 3. replacing default passwords, before or during the installation process.

14.1.8.C.01.

NZISM_v3.7_14.1.8.C.01.

NZISM v3.7 14.1.8.C.01.

Standard Operating Environments

14.1.8.C.01. - minimise vulnerabilities and enhance system security

Shared

n/a

Agencies SHOULD develop a hardened SOE for workstations and servers, covering: 1. removal of unneeded software and operating system components; 2. removal or disabling of unneeded services, ports and BIOS settings; 3. disabling of unused or undesired functionality in software and operating systems; 4. implementation of access controls on relevant objects to limit system users and programs to the minimum access required; 5. installation of antivirus and anti-malware software; 6. installation of software-based firewalls limiting inbound and outbound network connections; 7. configuration of either remote logging or the transfer of local event logs to a central server; and 8. protection of audit and other logs through the use of a one way pipe to reduce likelihood of compromise key transaction records.

16.1.47.C.01.

NZISM_v3.7_16.1.47.C.01.

NZISM v3.7 16.1.47.C.01.

Identification, Authentication and Passwords

16.1.47.C.01. - enhance overall security posture.

Shared

n/a

Agencies SHOULD ensure that repeated account lockouts are investigated before reauthorising access.

17.5.7.C.01.

NZISM_v3.7_17.5.7.C.01.

NZISM v3.7 17.5.7.C.01.

Secure Shell

17.5.7.C.01. - enhance overall cybersecurity posture.

Shared

n/a

Agencies SHOULD use public key-based authentication before using password-based authentication.

17.5.7.C.02.

NZISM_v3.7_17.5.7.C.02.

NZISM v3.7 17.5.7.C.02.

Secure Shell

17.5.7.C.02. - enhance overall cybersecurity posture.

Shared

n/a

Agencies that allow password authentication SHOULD use techniques to block brute force attacks against the password.

17.8.10.C.01.

NZISM_v3.7_17.8.10.C.01.

NZISM v3.7 17.8.10.C.01.

Internet Protocol Security (IPSec)

17.8.10.C.01. - enhance overall cybersecurity posture.

Shared

n/a

Agencies SHOULD use tunnel mode for IPSec connections.

17.8.10.C.02.

NZISM_v3.7_17.8.10.C.02.

NZISM v3.7 17.8.10.C.02.

Internet Protocol Security (IPSec)

17.8.10.C.02. - enhance overall cybersecurity posture.

Shared

n/a

Agencies choosing to use transport mode SHOULD additionally use an IP tunnel for IPSec connections.

20.4.4.C.01.

NZISM_v3.7_20.4.4.C.01.

NZISM v3.7 20.4.4.C.01.

Databases

20.4.4.C.01. - enhance data security and integrity.

Shared

n/a

Agencies MUST protect database files from access that bypasses the database's normal access controls.

20.4.4.C.02.

NZISM_v3.7_20.4.4.C.02.

NZISM v3.7 20.4.4.C.02.

Databases

20.4.4.C.02. - enhance data security and integrity.

Shared

n/a

Agencies SHOULD protect database files from access that bypass normal access controls.

20.4.5.C.01.

NZISM_v3.7_20.4.5.C.01.

NZISM v3.7 20.4.5.C.01.

Databases

20.4.5.C.01. - enhance data security and integrity.

Shared

n/a

Agencies MUST enable logging and auditing of system users' actions.

20.4.5.C.02.

NZISM_v3.7_20.4.5.C.02.

NZISM v3.7 20.4.5.C.02.

Databases

20.4.5.C.02. - bolster data security and compliance measures.

Shared

n/a

Agencies SHOULD ensure that databases provide functionality to allow for auditing of system users' actions.

20.4.6.C.01.

NZISM_v3.7_20.4.6.C.01.

NZISM v3.7 20.4.6.C.01.

Databases

20.4.6.C.01. - mitigate the risk of unauthorized access to sensitive information and ensuring compliance with security clearance requirements.

Shared

n/a

If results from database queries cannot be appropriately filtered, agencies MUST ensure that all query results are appropriately sanitised to meet the minimum security clearances of system users.

20.4.6.C.02.

NZISM_v3.7_20.4.6.C.02.

NZISM v3.7 20.4.6.C.02.

Databases

20.4.6.C.02. - enhance data security.

Shared

n/a

Agencies SHOULD ensure that system users who do not have sufficient security clearances to view database contents cannot see or interrogate associated metadata in a list of results from a search engine query.

22.3.11.C.01.

NZISM_v3.7_22.3.11.C.01.

NZISM v3.7 22.3.11.C.01.

Virtual Local Area Networks

22.3.11.C.01. - ensure data security and integrity.

Shared

n/a

Unused ports on the switches MUST be disabled.

22.3.11.C.02.

NZISM_v3.7_22.3.11.C.02.

NZISM v3.7 22.3.11.C.02.

Virtual Local Area Networks

22.3.11.C.02. - ensure data security and integrity.

Shared

n/a

Unused ports on the switches SHOULD be disabled.

1.2.5

PCI_DSS_v4.0.1_1.2.5

PCI DSS v4.0.1 1.2.5

Install and Maintain Network Security Controls

All services, protocols, and ports allowed are identified, approved, and have a defined business need

Shared

n/a

Examine documentation to verify that a list exists of all allowed services, protocols, and ports, including business justification and approval for each. Examine configuration settings for NSCs to verify that only approved services, protocols, and ports are in use

2.2.4

PCI_DSS_v4.0.1_2.2.4

PCI DSS v4.0.1 2.2.4

Apply Secure Configurations to All System Components

Only necessary services, protocols, daemons, and functions are enabled, and all unnecessary functionality is removed or disabled

Shared

n/a

Examine system configuration standards to verify necessary services, protocols, daemons, and functions are identified and documented. Examine system configurations to verify the following: All unnecessary functionality is removed or disabled. Only required functionality, as documented in the configuration standards, is enabled

7.2.3

PCI_DSS_v4.0.1_7.2.3

PCI DSS v4.0.1 7.2.3

Restrict Access to System Components and Cardholder Data by Business Need to Know

Required privileges are approved by authorized personnel

Shared

n/a

Examine policies and procedures to verify they define processes for approval of all privileges by authorized personnel. Examine user IDs and assigned privileges, and compare with documented approvals to verify that: Documented approval exists for the assigned privileges. The approval was by authorized personnel. Specified privileges match the roles assigned to the individual

7.2.4

PCI_DSS_v4.0.1_7.2.4

PCI DSS v4.0.1 7.2.4

Restrict Access to System Components and Cardholder Data by Business Need to Know

All user accounts and related access privileges, including third-party/vendor accounts, are reviewed as follows: At least once every six months. To ensure user accounts and access remain appropriate based on job function. Any inappropriate access is addressed. Management acknowledges that access remains appropriate

Shared

n/a

Examine policies and procedures to verify they define processes to review all user accounts and related access privileges, including third-party/vendor accounts, in accordance with all elements specified in this requirement. Interview responsible personnel and examine documented results of periodic reviews of user accounts to verify that all the results are in accordance with all elements specified in this requirement

7.2.5.1

PCI_DSS_v4.0.1_7.2.5.1

PCI DSS v4.0.1 7.2.5.1

Restrict Access to System Components and Cardholder Data by Business Need to Know

All access by application and system accounts and related access privileges are reviewed as follows: Periodically (at the frequency defined in the entity’s targeted risk analysis, which is performed according to all elements specified in Requirement 12.3.1). The application/system access remains appropriate for the function being performed. Any inappropriate access is addressed. Management acknowledges that access remains appropriate

Shared

n/a

Examine policies and procedures to verify they define processes to review all application and system accounts and related access privileges in accordance with all elements specified in this requirement. Examine the entity’s targeted risk analysis for the frequency of periodic reviews of application and system accounts and related access privileges to verify the risk analysis was performed in accordance with all elements specified in Requirement 12.3.1. Interview responsible personnel and examine documented results of periodic reviews of system and application accounts and related privileges to verify that the reviews occur in accordance with all elements specified in this requirement

13.3

RBI_CSF_Banks_v2016_13.3

Advanced Real-Timethreat Defenceand Management

Advanced Real-Timethreat Defenceand Management-13.3

n/a

Consider implementing whitelisting of internet websites/systems.

13.4

RBI_CSF_Banks_v2016_13.4

Advanced Real-Timethreat Defenceand Management

Advanced Real-Timethreat Defenceand Management-13.4

n/a

Consider implementingsecure web gateways with capability to deep scan network packets including secure (HTTPS, etc.) traffic passing through the web/internet gateway

4.10

RBI_CSF_Banks_v2016_4.10

Network Management And Security

Perimeter Protection And Detection-4.10

n/a

Boundary defences should be multi-layered with properly configured firewalls, proxies, DMZ perimeter networks, and network--???based IPS and IDS. Mechanism to filter both inbound and outbound traffic to be put in place.

4.3

RBI_CSF_Banks_v2016_4.3

Network Management And Security

Network Device Configuration Management-4.3

n/a

Ensure that all the network devices are configured appropriately and periodically assess whether the configurations are appropriate to the desired level of network security.

4.7

RBI_CSF_Banks_v2016_4.7

Network Management And Security

Anomaly Detection-4.7

n/a

Put in place mechanism to detect and remedy any unusual activities in systems, servers, network devices and endpoints.

RBI_ITF_NBFC_v2017

1.1

RBI_ITF_NBFC_v2017_1.1

RBI IT Framework 1.1

IT Governance

IT Governance-1.1

n/a

NBFCs are required to form an IT Strategy Committee. The chairman of the committee shall be an independent director and CIO & CTO should be a part of the committee. The IT Strategy Committee should meet at an appropriate frequency but not more than six months should elapse between two meetings. The Committee shall work in partnership with other Board committees and Senior Management to provide input to them. It will also carry out review and amend the IT strategies in line with the corporate strategies, Board Policy reviews, cyber security arrangements and any other matter related to IT Governance. Its deliberations may be placed before the Board.

RMiT_v1.0

10.49

RMiT_v1.0_10.49

RMiT 10.49

Cloud Services

Cloud Services - 10.49

Shared

n/a

A financial institution must fully understand the inherent risk of adopting cloud services. In this regard, a financial institution is required to conduct a comprehensive risk assessment prior to cloud adoption which considers the inherent architecture of cloud services that leverages on the sharing of resources and services across multiple tenants over the Internet. The assessment must specifically address risks associated with the following: (a) sophistication of the deployment model; (b) migration of existing systems to cloud infrastructure; (c) location of cloud infrastructure; (d) multi-tenancy or data co-mingling; (e) vendor lock-in and application portability or interoperability; (f) ability to customise security configurations of the cloud infrastructure to ensure a high level of data and technology system protection; (g) exposure to cyber-attacks via cloud service providers; (h) termination of a cloud service provider including the ability to secure the financial institution's data following the termination; (i) demarcation of responsibilities, limitations and liability of the service provider; and (j) ability to meet regulatory requirements and international standards on cloud computing on a continuing basis.

Sarbanes_Oxley_Act_(1)_2022_1

Sarbanes Oxley Act 2022 1

PUBLIC LAW

Sarbanes Oxley Act 2022 (SOX)

Shared

n/a

SOC_2

CC6.1

SOC_2_CC6.1

SOC 2 Type 2 CC6.1

Logical and Physical Access Controls

Logical access security software, infrastructure, and architectures

Shared

The customer is responsible for implementing this recommendation.

The following points of focus, specifically related to all engagements using the trust services criteria, highlight important characteristics relating to this criterion: • Identifies and Manages the Inventory of Information Assets — The entity identifies, Page 29 TSP Ref. # TRUST SERVICES CRITERIA AND POINTS OF FOCUS inventories, classifies, and manages information assets. • Restricts Logical Access — Logical access to information assets, including hardware, data (at-rest, during processing, or in transmission), software, administrative authorities, mobile devices, output, and offline system components is restricted through the use of access control software and rule sets. • Identifies and Authenticates Users — Persons, infrastructure, and software are identified and authenticated prior to accessing information assets, whether locally or remotely. • Considers Network Segmentation — Network segmentation permits unrelated portions of the entity's information system to be isolated from each other. • Manages Points of Access — Points of access by outside entities and the types of data that flow through the points of access are identified, inventoried, and managed. The types of individuals and systems using each point of access are identified, documented, and managed. • Restricts Access to Information Assets — Combinations of data classification, separate data structures, port restrictions, access protocol restrictions, user identification, and digital certificates are used to establish access-control rules for information assets. • Manages Identification and Authentication — Identification and authentication requirements are established, documented, and managed for individuals and systems accessing entity information, infrastructure, and software. • Manages Credentials for Infrastructure and Software — New internal and external infrastructure and software are registered, authorized, and documented prior to being granted access credentials and implemented on the network or access point. Credentials are removed and access is disabled when access is no longer required or the infrastructure and software are no longer in use. • Uses Encryption to Protect Data — The entity uses encryption to supplement other measures used to protect data at rest, when such protections are deemed appropriate based on assessed risk. • Protects Encryption Keys — Processes are in place to protect encryption keys during generation, storage, use, and destruction

SOC_2

CC6.6

SOC_2_CC6.6

SOC 2 Type 2 CC6.6

Logical and Physical Access Controls

Security measures against threats outside system boundaries

Shared

The customer is responsible for implementing this recommendation.

• Restricts Access — The types of activities that can occur through a communication channel (for example, FTP site, router port) are restricted. • Protects Identification and Authentication Credentials — Identification and authentication credentials are protected during transmission outside its system boundaries. • Requires Additional Authentication or Credentials — Additional authentication information or credentials are required when accessing the system from outside its boundaries. • Implements Boundary Protection Systems — Boundary protection systems (for example, firewalls, demilitarized zones, and intrusion detection systems) are implemented to protect external access points from attempts and unauthorized access and are monitored to detect such attempts

SOC_2

CC6.7

SOC_2_CC6.7

SOC 2 Type 2 CC6.7

Logical and Physical Access Controls

Restrict the movement of information to authorized users

Shared

The customer is responsible for implementing this recommendation.

• Restricts the Ability to Perform Transmission — Data loss prevention processes and technologies are used to restrict ability to authorize and execute transmission, movement, and removal of information. • Uses Encryption Technologies or Secure Communication Channels to Protect Data — Encryption technologies or secured communication channels are used to protect transmission of data and other communications beyond connectivity access points. • Protects Removal Media — Encryption technologies and physical asset protections are used for removable media (such as USB drives and backup tapes), as appropriate. • Protects Mobile Devices — Processes are in place to protect mobile devices (such as laptops, smart phones, and tablets) that serve as information assets

CC2.3

SOC_2023_CC2.3

SOC 2023 CC2.3

Information and Communication

Facilitate effective internal communication.

Shared

n/a

Entity to communicate with external parties regarding matters affecting the functioning of internal control.

218

CC5.3

SOC_2023_CC5.3

SOC 2023 CC5.3

Control Activities

Maintain alignment with organizational objectives and regulatory requirements.

Shared

n/a

Entity deploys control activities through policies that establish what is expected and in procedures that put policies into action by establishing Policies and Procedures to Support Deployment of Management’s Directives, Responsibility and Accountability for Executing Policies and Procedures, perform tasks in a timely manner, taking corrective actions, perform using competent personnel and reassess policies and procedures.

229

CC6.1

SOC_2023_CC6.1

SOC 2023 CC6.1

Logical and Physical Access Controls

Mitigate security events and ensuring the confidentiality, integrity, and availability of critical information assets.

Shared

n/a

Entity implements logical access security software, infrastructure, and architectures over protected information assets to protect them from security events to meet the entity's objectives by identifying and managing the inventory of information assets, restricting logical access, identification and authentication of users, consider network segmentation, manage points of access, restricting access of information assets, managing identification and authentication, managing credentials for infrastructure and software, using encryption to protect data and protect using encryption keys.

128

CC6.3

SOC_2023_CC6.3

404 not found

n/a

CC6.7

SOC_2023_CC6.7

404 not found

n/a

CC6.8

SOC_2023_CC6.8

SOC 2023 CC6.8

Logical and Physical Access Controls

Mitigate the risk of cybersecurity threats, safeguard critical systems and data, and maintain operational continuity and integrity.

Shared

n/a

Entity implements controls to prevent or detect and act upon the introduction of unauthorized or malicious software to meet the entity’s objectives.

CC7.2

SOC_2023_CC7.2

SOC 2023 CC7.2

Systems Operations

Maintain robust security measures and ensure operational resilience.

Shared

n/a

The entity monitors system components and the operation of those components for anomalies that are indicative of malicious acts, natural disasters, and errors affecting the entity's ability to meet its objectives; anomalies are analysed to determine whether they represent security events.

167