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IT compliance: A guide to key regulations and standards

IT compliance
TOPICS ON THIS PAGE
  • What is IT compliance?
  • Why do businesses need IT compliance?
  • Key differences between IT compliance and IT security
  • Common IT compliance standards
  • Benefits of IT compliance for business
  • IT compliance best practices
  • IT compliance implementation tips
  • How does ManageEngine AppCreator help in providing IT compliance solutions?
What is IT compliance

What is IT compliance?

IT compliance ensures an organization’s IT systems and practices align with legal, regulatory, and industry standards to protect data, ensure security, and mitigate risks. It includes adhering to laws like the GDPR and HIPAA as well as frameworks like ISO 27001 and the PCI DSS to avoid penalties and protect sensitive information.

Why do businesses need IT compliance

Why do businesses need IT compliance?

Adhering to IT compliance regulations is more than just a legal requirement. It's an opportunity to strengthen your business operations. Here are some reasons why businesses need to be IT compliant.

  • Enhanced data security: Safeguards sensitive information and reduces the risk of data breaches.
  • Boosted customer trust: Builds credibility and confidence among customers by demonstrating a commitment to data privacy and security.
  • Improved operational efficiency: Streamlines processes and reduces the risk of costly errors and downtime.
  • Strengthened reputation: Enhances brand image and reputation with clients and partners.

Key differences between IT compliance and IT security

Confused about IT compliance and IT security? We have got you covered. Let's break down the fundamental differences in terms of some of their key aspects.

  • Aspect

  • IT compliance

  • IT security

  • Definition

  • IT compliance

    Adhering to laws, regulations, and industry standards to ensure data protection and privacy

  • IT security

    Protecting systems, networks, and data from cyberthreats and unauthorized access

  • Guidelines

  • IT compliance

    Follow external regulatory frameworks (e.g., the GDPR, HIPAA, and the PCI DSS)

  • IT security

    Involves best practices and internal protocols for safeguarding IT assets (e.g., firewalls and encryption)

  • Purpose

  • IT compliance

    To ensure legal and regulatory adherence, avoid penalties, and ensure safe data handling

  • IT security

    To prevent, detect, and respond to security threats, minimizing risk and ensuring business continuity

  • Assessments

  • IT compliance

    Regular assessments based on compliance checklists and regulatory standards

  • IT security

    Ongoing threat assessments, vulnerability scans, pentest, and risk management

  • Audits

  • IT compliance

    External and internal audits to verify adherence to legal standards

  • IT security

    Internal security audits to identify system vulnerabilities and security flaws

  • Penalties

  • IT compliance

    Legal consequences like fines, lawsuits, or business restrictions for non-compliance (e.g., GDPR fines)

  • IT security

    Loss of data, system downtime, financial losses, or reputational damage in case of a breach

Common IT compliance standards

01

General Data Protection Regulation (GDPR)

The GDPR is a European Union (EU) regulation that governs the collection and processing of personal data in the EU and the European Economic Area. It focuses on data privacy and transparency, requiring businesses to get explicit consent from users before collecting personal data. Non-compliance can result in hefty fines of up to €20 million or 4% of the global annual revenue of the preceding financial year in the case of an enterprise, whichever is greater.

02

Health Insurance Portability and Accountability Act (HIPAA)

HIPAA is a United States (US) regulation designed to protect sensitive patient health information from data breaches and unauthorized access. It applies to healthcare providers, insurers, and their partners. Compliance ensures secure handling of electronic health records and protects patient privacy. Violations can result in substantial fines and criminal charges.

03

Payment Card Industry Data Security Standard (PCI DSS)

The PCI DSS is a set of security standards aimed at protecting cardholder data and preventing credit card fraud. It applies to businesses that store, process, or transmit payment card information. The standard requires encryption, secure networks, and regular audits. Non-compliance fines can vary from $5,000 to $100,000 a month depending on the size of the company and the duration and scope of the violation.

04

Sarbanes-Oxley Act (SOX)

SOX is a US law designed to protect investors by ensuring the accuracy and integrity of financial reporting. It mandates businesses, particularly public companies, to implement internal controls and regular audits of financial and IT processes. Failure to comply with SOX can result in penalties of up to $5 million or imprisonment for up to 20 years.

05

ISO/IEC 27001 (for information security management systems)

ISO/IEC 27001 is an international standard for managing information security risks. It outlines requirements for establishing, implementing, and maintaining an information security management system. Compliance helps organizations protect sensitive information and improve overall security posture.

06

National Institute of Standards and Technology (NIST)

The NIST provides a comprehensive framework of standards and guidelines for improving cybersecurity in US government agencies and private enterprises. The NIST's Cybersecurity Framework is widely used to identify, protect, detect, respond to, and recover from cyber threats.

07

Federal Information Security Modernization Act (FISMA)

FISMA applies to US federal agencies and contractors and mandates a standardized approach to securing information systems. It sets requirements for risk assessments, security controls, continuous monitoring, and reporting. FISMA compliance is critical for companies working with the federal government to ensure secure handling of federal data.

08

Service Organization Control 2 (SOC 2)

SOC 2 is a standard for managing data based on five trust service principles—security, availability, processing integrity, confidentiality, and privacy. It’s most relevant for technology companies, especially SaaS providers, that need to demonstrate their commitment to securing customer data. An external auditor certifies whether a company meets SOC 2 requirements.

09

Cybersecurity Maturity Model Certification (CMMC)

SOC 2 is a standard for managing data based on five trust service principles—security, availability, processing integrity, confidentiality, and privacy. It’s most relevant for technology companies, especially SaaS providers, that need to demonstrate their commitment to securing customer data. An external auditor certifies whether a company meets SOC 2 requirements.

10

Gramm-Leach-Bliley Act (GLBA)

The GLBA is a US law that mandates financial institutions to protect the privacy of customers’ financial information. It requires institutions to implement safeguards and disclose their data sharing practices. Violating the GLBA could cost a financial institution $100,000 per breach, with executives facing fines up to $10,000 and up to five years in prison.

     

Benefits of IT compliance for business

IT compliance is more than just meeting a set of requirements. It's a critical aspect of managing risk, securing data, and maintaining the integrity of your organization. Here's why it matters:

A culture of security and accountability: IT compliance helps foster a culture of security, ensuring everyone in the organization is accountable for safeguarding data and systems.

Preparation for audits and regulatory scrutiny: Being compliant ensures your organization is always ready for audits and can pass regulatory inspections with ease.

Protection of sensitive data: IT compliance helps safeguard sensitive information by enforcing data protection measures, like protecting sensitive data from unauthorized access by implementing encryption, access controls, and regular audits.

Avoid fines and lawsuits: Staying compliant helps prevent costly fines and lawsuits from the government and other regulatory organizations due to non-compliance with industry regulations and standards.

Stronger reputation: Maintaining compliance boosts trust with customers, clients, and partners, reinforcing your reputation as an ethical business.

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IT compliance best practices

These are some best practices for enforcing IT compliance within your organization.

 

Understand regulatory requirements

To ensure complete compliance, businesses must research and understand all relevant regulations that apply to their industry. These regulations outline specific requirements for data handling, privacy, and security practices.

 

Develop a risk assessment plan

Create a risk assessment plan to identify potential compliance threats, like changing regulations, system weaknesses, or cyber risks. By evaluating each risk's likelihood and impact, businesses can prioritize what needs immediate attention.

 

Establish employee training and awareness

Regular employee training on compliance standards is crucial for maintaining compliance. Keeping staff updated on policies, data protection laws, and security best practices reduces human errors, boosts awareness, and fosters a culture where compliance is everyone's responsibility.

 

Continuously monitor and update

Stay on top of compliance by regularly monitoring regulatory changes and updating practices. Routine audits of systems and processes helps spot gaps and outdated methods, ensuring the business stays aligned with evolving laws and avoids risks.

 

Document policies and procedures

Documenting IT policies and procedures ensures consistent compliance and provides clear guidelines for employees. It helps to mitigate risks and maintain adherence to regulatory standards.

IT compliance implementation tips

Here are some key practices to implement IT compliance in your organization effectively.

 

Automate compliance processes

Leverage regulatory and compliance management platforms to automate tracking, reporting, and enforcement. Automation reduces errors, ensures consistency, and frees up resources, making compliance management smoother and organizations less likely to miss critical details.

 

Implement strong data protection measures

Secure sensitive data with practices like encryption, multi-factor authentication, and strict access controls. Use data minimization to only collect what's necessary, protecting both compliance and your business from costly breaches.

 

Regularly conduct audits and assessments

Conduct regular internal and external audits to track compliance and spot process gaps. Audits help identify issues early, ensuring your systems stay aligned with regulations and policies.

 

Develop incident response plans

Create a clear incident response plan to handle security breaches or compliance violations. It should outline how to identify, report, and resolve issues quickly, minimizing damage and meeting compliance requirements.

 

Implement role-based access controls

Restrict access to sensitive data based on employee roles and job functions. This reduces data leaks, supports compliance, and boosts overall security and privacy.

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How does ManageEngine AppCreator help in providing IT compliance solutions?

Do traditional IT compliance solutions sometimes feel like a roadblock rather than a roadmap? Manual methods like spreadsheets to track compliance are prone to human errors, are time-consuming, and become hard to manage as the organization grows. Legacy software can help automate tasks but is expensive and hard to integrate with newer tools.

Tools like data loss prevention and cloud access security brokers offer more control, but they can be complex and expensive. While they protect data and cloud apps, they often don’t offer a simple, cost-effective solution for businesses of all sizes.

This is where low-code platforms come in. They allow businesses to quickly build and customize compliance solutions with minimal technical skills, offering a more flexible, affordable way to stay compliant without wrestling with heavy coding.

AppCreator is a low-code custom application development platform which lets you build powerful apps to automate and streamline compliance processes by reducing manual effort and minimizing risks.

By offering strong user access controls, AppCreator simplifies compliance. Administrators can restrict data access to authorized users, minimizing risks and ensuring adherence to data protection regulations.

Customizable roles let businesses assign access based on job functions, ensuring the right people handle tasks like data processing and record keeping. This minimizes errors, protects data, and helps meet the regulatory requirements of mandates like the GDPR, HIPAA, or SOC.

With features designed to protect sensitive data, such as PII and ePHI, businesses can build secure applications that comply with privacy regulations. Access to sensitive data is restricted to authorized users only, ensuring compliance with the GDPR, the CCPA, and other data protection laws.

Along with the automation of compliance-related tasks, AppCreator also features an audit trail that tracks all the changes made to the application—including who made them, when, and what was updated. This serves as documentary evidence for the sequence of activities in your application records and reports.

AppCreator helps IT and compliance teams by reducing manual work, minimizing human errors, and boosting real-time monitoring with dashboards. Compliance teams can stay proactive, manage risks, and ensure ongoing adherence to changing regulations.

Backed by global certifications like ISO/IEC 27001, ISO/IEC 27701, SOC 2 Type II, the GDPR, and the CCPA, AppCreator ensures it meets the highest security and privacy standards for trusted compliance support.

Simplify your IT compliance process, one step at a time, with AppCreator. Click here for a free and personalized demo, and discover a simpler way to stay on top of compliance.

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