Overview
This policy establishes the mandatory framework for identifying, managing, and complying with all legal, regulatory, and contractual obligations relevant to the organization's information security, data privacy, and operational functions.
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Identify & Manage All Obligations: Ensure all applicable laws, regulations, standards, and contractual obligations are identified, documented, and enforced.
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Integrate Compliance into the ISMS: Embed legal and regulatory requirements into the ISMS, risk management, vendor agreements, and product design.
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Proactively Monitor Regulatory Changes: Provide a mechanism for proactively monitoring regulatory changes and updating controls and documentation.
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Ensure Auditability & Defensibility: Maintain an auditable and defensible posture during inspections, investigations, or certification reviews.
Read Full Overview
The Legal and Regulatory Compliance Policy is vital for organizations seeking to integrate stringent compliance mandates into their governance, risk management, and operational workflows. This policy sets a robust framework for identifying, managing, and fulfilling all legal and regulatory obligations relevant to information security, data privacy, and operational functions. It aims to prevent non-compliance that could lead to severe consequences such as fines, legal liabilities, business disruptions, or reputational damage. By embedding compliance requirements into the Information Security Management System (ISMS), risk management processes, vendor agreements, and product/service design, the policy provides a proactive mechanism for monitoring regulatory changes and updating controls accordingly. This ensures that all obligations across various jurisdictions and industry standards are documented, assessed, monitored, and enforced. The policy defines clear accountability for compliance oversight, violation escalation, exception handling, and external reporting, ensuring auditability and defensibility during inspections, investigations, or certification reviews. Key roles such as Executive Management and Compliance Officers are tasked with maintaining strategic accountability and ensuring that compliance obligations are integrated into operational governance. Aligned with internationally recognized frameworks like ISO/IEC 27001:2022, NIST SP 800-53, EU GDPR, and more, this policy provides guidance on maintaining a compliance obligations register, implementing structured evidence retention, and conducting regular compliance reviews. It outlines training and awareness programs for all employees and contractors to ensure that compliance practices are understood and adhered to across the organization. This policy instills confidence and clarity, providing relief to organizations by ensuring they are well-prepared to meet legal and regulatory demands without compromising operational efficiency.
What’s Inside
Governance Requirements: A centralized Compliance Obligations Register and a mandate for embedded compliance-by-design.
Regulatory Change Management: A formal process to monitor legal bulletins and communicate updates to affected departments.
Control & Evidence Management: Requirements to map all obligations to specific controls and maintain auditable evidence.
Contractual & Third-Party Oversight: Mandatory clauses for contracts covering data privacy, breach notification, and audit rights.
Training and Awareness: A schedule for mandatory, role-specific compliance training for all personnel.
Roles and Responsibilities: Clear duties for Executive Management, Compliance, CISO, and Legal teams.
Built for Leaders, By Leaders
This policy isn't just a template; it's an audit-defensible document crafted by seasoned cybersecurity leaders. Every clause is designed for practical implementation within complex enterprise environments, ensuring you can meet auditor requirements without disrupting operational workflows.
Framework Compliance
🛡️ Supported Standards & Frameworks
This product is aligned with the following compliance frameworks, with detailed clause and control mappings.
| Framework | Covered Clauses / Controls |
|---|---|
| ISO/IEC 27001:2022 | Clauses 4.25.15.3 |
| ISO/IEC 27002:2022 | Controls 5.15.36 |
| NIST SP 800-53 Rev.5 | PL-1PM-1CA-7AU-9 |
| EU GDPR | Articles 56243233 |
| EU NIS2 | Articles 20-21 |
| EU DORA | Articles 5(2)19 |
| COBIT 2019 | APO12MEA03 |
Part of a Complete ISMS Toolkit
This policy is one of 37 documents in our complete toolkit, designed for comprehensive compliance.
100%
ISO 27001:2022
95%
NIST
88%
NIS2
75%
DORA
70%
GDPR
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P30 - Incident Response Policy
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P33 - Audit and Compliance Monitoring Policy
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About This Policy
The Clarysec Legal and Regulatory Compliance Policy provides a mandatory framework for identifying, managing, and adhering to all legal, regulatory, and contractual obligations. Its primary purpose is to prevent non-compliance and the associated risks of fines, legal liability, and reputational damage. By integrating compliance mandates directly into the ISMS, risk management, and operational workflows, this policy ensures a proactive and structured approach to meeting standards like ISO 27001:2022, GDPR, and DORA.
This policy's scope covers all departments, functions, and individuals acting on behalf of the organization, including employees and third-party vendors. It governs all compliance domains, from information security and data privacy to sector-specific regulations and contractual requirements. Through a central Compliance Obligations Register, risk-based assessments, and clear accountability, the policy establishes a defensible and auditable posture for navigating complex legal landscapes.
