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Compliance for the Financial Sector
DORA, ISO 27001, NIS2 — meet the strict requirements of regulators
Information security in the financial sector
The financial sector is under strict supervision from regulators. With the introduction of DORA (Digital Operational Resilience Act), requirements for digital resilience are further tightened. Financial institutions must demonstrably be in control.
From banks and insurers to fintech companies and asset managers — compliance is not optional but a fundamental prerequisite for operating in the financial market.
Relevant standards and legislation
These standards are mandatory or expected in the financial sector
The international standard for information security. Basis for many financial compliance frameworks.
Regulators expect ISO 27001 as the foundation for information security
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The international standard for quality management. Essential for ensuring reliable financial processes and service delivery.
Increasingly required by regulators and clients for demonstrable process management
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The Digital Operational Resilience Act sets requirements for ICT risk management, incident reporting and vendor management.
Mandatory for all financial entities in the EU from January 2025
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The European directive for cybersecurity. Banking is designated as an essential sector.
Additional requirements on top of existing financial regulations
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Demonstrable security and reliability of service delivery. Often required by international partners.
Especially relevant for fintech companies and IT service providers to the financial sector
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The Dutch Central Bank sets specific requirements for information security and operational resilience.
Direct regulator for banks, insurers and pension funds
Strict requirements for processing financial and personal data of clients.
Financial data falls under special categories of personal data
Specific challenges in the financial sector
What financial institutions struggle with
DORA implementation
The Digital Operational Resilience Act sets new, complex requirements for ICT risk management and digital resilience.
Vendor management
Strict requirements for managing ICT vendors and third parties providing critical services.
Regulator reporting
Regulators require regular reports on information security and incidents.
Operational resilience
Financial services must be available 24/7. Incidents have direct impact on customers and markets.
How uComply helps in the financial sector
From DORA compliance to ISO 27001 certification
DORA & ISO 27001 Content Packs
Ready-to-use implementation for the most relevant frameworks in the financial sector.
Integrated standard management
DORA, ISO 27001 and NIS2 have significant overlap. uComply prevents duplicate work through shared controls.
AI Consultant
Specific guidance for the financial sector. The AI knows DORA requirements and regulatory guidelines.
Audit & reporting
Generate compliance reports for regulators and internal audits with one click.
Start today with financial sector compliance
Discover how uComply can help your financial institution with DORA, ISO 27001 and NIS2.