Criticality Critical Active

Regulatory Change Governance & Oversight

Defines governance structures, roles, approval authority, escalation paths, and review responsibilities for regulatory change management, including formal oversight by a CCB or designated compliance leadership.

Control ID
REG-001
Domain Code
REG
Control Nature
Detective
Business Owner
Chief Compliance Officer / General Counsel
Category
Administrative
Compensating Control
No

Control Overview

REG-001 · Full Control Profile
Business Description

Establish clear accountability and governance for identifying, reviewing, assessing, approving, and implementing regulatory changes through a Change Control Board (CCB) or designated compliance leaders.

Business Objective

To ensure regulatory changes are governed by accountable decision-makers and implemented through a formally approved process.

Business Benefits

    Business Risks if Missing

      Stakeholders, Industries & Technologies

      REG-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
      HIPAA Health Insurance Portability and Accountability Act HIPAA is a U.S. federal law supported by implement...
      US
      Law
      		 vCurrent View →
      PCI-DSS PCI DSS PCI DSS is an industry security standard maintaine...
      PCI
      Standard
      		 v4 View →
      COBIT2019 COBIT COBIT is an enterprise governance and management f...
      COBIT
      Governance Framework
      		 v2019 View →
      ISO22301 ISO/IEC 22301 ISO 22301 specifies requirements for a Business Co...
      ISO
      Standard
      		 v2019 View →
      NIST-CSF NIST Cybersecurity Framework (CSF) The NIST Cybersecurity Framework provides high-lev...
      NIST
      Framework
      		 v2 View →

      Parent Domain Context

      Governance Domain Baseline
      Domain Name:
      Regulatory Change Management (REG)
      Purpose:
      To systematically identify, track, and assess changes in relevant laws and regulations to ensure the organization remains compliant.
      Scope:
      Enterprise
      View

      Compliance Requirements & Audit Crosswalk

      6 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
      REG-001-R001 Governance Charter The organization shall establish and mai... REG-001 Regulatory Change Governance &... Chief Compliance Officer / General Counsel View ↗
      REG-001-R002 Change Control Board The organization shall establish a Chang... REG-001 Regulatory Change Governance &... Chief Compliance Officer / General Counsel View ↗
      REG-001-R003 Accountability and Ownership The organization shall assign accountabl... REG-001 Regulatory Change Governance &... Chief Compliance Officer / General Counsel View ↗
      REG-001-R004 Approval and Escalation The organization shall define approval t... REG-001 Regulatory Change Governance &... Chief Compliance Officer / General Counsel View ↗
      REG-001-R005 Governance Records The organization shall maintain records... REG-001 Regulatory Change Governance &... Chief Compliance Officer / General Counsel View ↗
      REG-001-R006 Periodic Governance Review The organization shall periodically revi... REG-001 Regulatory Change Governance &... Chief Compliance Officer / General Counsel View ↗