This requirement exists to formally close issues only after remediation has been verified and closure is approved and to support consistent, auditable compliance management.
Define the required non-compliance closure process, accountable roles, inputs, outputs, approval points, evidence requirements, review frequency, and escalation criteria. Integrate the activity with the organization's compliance records and related risk, policy, control, and assessment processes. A financial institution records a regulatory control failure, performs root-cause analysis, assigns corrective actions, and verifies remediation before formally closing the issue.
| FRAMEWORK CODE | FRAMEWORK NAME & DETAILS | FAMILY / CATEGORY | VERSION | ACTION |
|---|---|---|---|---|
| COBIT2019 | COBIT COBIT is an enterprise governance and management f... Clause: 4.5 – Monitor, Evaluate and Assess (MEA) > MEA03 – Managed Compliance with External Requirements > MEA03.03 – Confirm external compliance. |
COBIT
Governance Framework
|
v2019 | View → |
| DORA | Digital Operational Resilience Act The EU Digital Operational Resilience Act establis... Clause: Article 6(7) – Formal follow-up and timely remediation of critical ICT audit findings |
EU
Regulation
|
vCurrent | View → |
| GDPR | General Data Protection Regulation (GDPR) The General Data Protection Regulation is a bindin... Clause: Article 5(2) – Accountability; Article 24(1) – Responsibility of the controller; Article 32(1)(d) – Testing, assessing and evaluating security measures |
EU
Regulation
|
vCurrent | View → |
| IRDAI | IRDAI Information & Cyber Security Guidelines IRDAI information and cyber-security requirements... Clause: §1.10 – Compliance |
India
Guideline
|
vLatest | View → |
| ISO22301 | ISO/IEC 22301 ISO 22301 specifies requirements for a Business Co... Clause: 10.1 – Nonconformity and corrective action |
ISO
Standard
|
v2019 | View → |
| ISO27001 | ISO/IEC 27001 ISO/IEC 27001 specifies auditable requirements for... Clause: 10.2 – Nonconformity and corrective action |
ISO
Standard
|
v2022 | View → |
| ISO27002 | ISO/IEC 27002 ISO/IEC 27002 is a guidance standard containing a... Clause: 5.36 – Compliance with policies, rules and standards for information security |
ISO
Standard
|
v2022 | View → |
| NIS2 | NIS2 Directive The NIS2 Directive establishes EU-wide cybersecuri... Clause: Article 21(4) – Corrective measures where the entity does not comply with Article 21(2) measures |
EU
Directive
|
vCurrent | View → |
| NIST-CSF | NIST Cybersecurity Framework (CSF) The NIST Cybersecurity Framework provides high-lev... Clause: GV.OC – Organizational Context | GV.OC-03 – Legal, regulatory, and contractual requirements regarding cybersecurity — including privacy and civil liberties obligations — are understood and managed |
NIST
Framework
|
v2 | View → |
| NIST80053 | NIST SP 800-53 NIST SP 800-53 Rev. 5 presents control families, i... Clause: 3.4 – ASSESSMENT, AUTHORIZATION, AND MONITORING, 3.13 – PROGRAM MANAGEMENT; CA-5 – PLAN OF ACTION AND MILESTONES, PM-4 – PLAN OF ACTION AND MILESTONES PROCESS |
NIST
Control Catalog
|
vRev. 5 | View → |
| NPCI-ISR | NPCI Information Security Requirements NPCI information-security requirements define cont... Clause: Governance Controls; Policy, Roles and Risk Linkages – Monitor policy compliance and exceptions |
India
Standard
|
vLatest | View → |
| SEBI-CSCRF | SEBI Cyber Security & Cyber Resilience Framework SEBI’s Cybersecurity and Cyber Resilience Framewor... Clause: 1.4 GV.OV: Oversight; 1.1 GV.OC: Organizational Context |
India
Regulation
|
vLatest | View → |
| SOC2 | SOC 2 Trust Services Criteria SOC 2 is an independent examination and reporting... Clause: CC4.2 – Monitoring of Controls – COSO Principle 17: The entity evaluates and communicates internal control deficiencies in a timely manner to those parties responsible for taking corrective action, including senior management and the board of directors, as appropriate. |
AICPA
Audit Framework
|
vLatest | View → |