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Information Security Audit Policy

Information Security Audit Policy Template for United Arab Emirates

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Key Requirements PROMPT example:

Information Security Audit Policy

I need an Information Security Audit Policy for a UAE-based fintech startup that handles customer financial data, ensuring compliance with UAE federal laws and including specific provisions for cloud service providers and third-party payment processors.

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Document background
The Information Security Audit Policy serves as a critical governance document for organizations operating in the United Arab Emirates, ensuring compliance with federal cybersecurity laws and regulatory requirements. This policy becomes necessary when organizations need to establish systematic approaches to evaluating their information security controls, particularly in light of the UAE's comprehensive cybersecurity framework and data protection regulations. The document provides detailed guidance on audit planning, execution, reporting, and follow-up procedures, while ensuring alignment with UAE-specific requirements such as the Federal Decree Law No. 45 of 2021 and UAE Information Assurance Standards (IAS). It is especially crucial for organizations handling sensitive data, operating critical infrastructure, or subject to sector-specific regulatory oversight in the UAE.
Suggested Sections

1. Purpose and Scope: Defines the objectives of the information security audit policy and its applicability within the organization

2. Legal Framework and Compliance: Outlines relevant UAE laws, regulations, and standards that the audit policy addresses

3. Roles and Responsibilities: Defines key stakeholders and their responsibilities in the audit process, including audit team, management, and IT personnel

4. Audit Frequency and Schedule: Establishes the required frequency of different types of security audits and the annual audit calendar

5. Audit Methodology: Details the standard approaches and procedures for conducting security audits

6. Documentation Requirements: Specifies the required documentation before, during, and after audits

7. Reporting and Communication: Establishes protocols for audit reporting, including templates and communication channels

8. Non-Compliance and Remediation: Defines procedures for handling audit findings and implementing corrective actions

9. Confidentiality and Data Protection: Specifies requirements for protecting audit data and findings

10. Review and Update Process: Establishes the process for regular review and updates of the audit policy

Optional Sections

1. Cloud Security Audit Procedures: Specific procedures for auditing cloud-based systems and services, required for organizations using cloud infrastructure

2. Third-Party Audit Requirements: Requirements for external auditors and third-party assessment organizations, needed for organizations using external audit services

3. Industry-Specific Compliance: Additional audit requirements for specific industries like healthcare or financial services

4. Remote Audit Procedures: Procedures for conducting remote audits, relevant for organizations with remote operations or during exceptional circumstances

5. Cross-Border Data Considerations: Additional requirements for organizations handling data across multiple jurisdictions

6. IoT Device Security Audit: Specific procedures for auditing IoT devices and networks, relevant for organizations with IoT infrastructure

Suggested Schedules

1. Audit Checklist Template: Detailed checklist for different types of security audits

2. Risk Assessment Matrix: Template for evaluating and categorizing security risks identified during audits

3. Audit Report Template: Standardized format for documenting audit findings and recommendations

4. Compliance Requirements Matrix: Detailed mapping of UAE regulatory requirements to audit procedures

5. Security Control Framework: Detailed security controls based on UAE IAS and international standards

6. Incident Response Procedures: Procedures for handling security incidents discovered during audits

7. Technical Audit Specifications: Detailed technical requirements for system and network security audits

8. Remediation Plan Template: Template for documenting and tracking corrective actions

Authors

Alex Denne

Head of Growth (Open Source Law) @ Genie AI | 3 x UCL-Certified in Contract Law & Drafting | 4+ Years Managing 1M+ Legal Documents | Serial Founder & Legal AI Author

Linkedin in social icon imageX social icon image
alex.den.21@genieai.co
Relevant legal definitions
Audit Evidence
Audit Findings
Audit Plan
Audit Report
Audit Scope
Audit Trail
Confidential Information
Control Objective
Corrective Action
Critical Assets
Cybersecurity Event
Data Classification
Data Controller
Data Processor
Data Subject
External Auditor
Information Asset
Information Security
Information System
Internal Auditor
Lead Auditor
Non-Compliance
Personal Data
Policy Owner
Preventive Control
Risk Assessment
Risk Level
Root Cause
Security Control
Security Incident
Security Breach
Sensitive Data
System Owner
Technical Control
Vulnerability Assessment
Clauses
Purpose and Scope
Authority and Responsibility
Regulatory Compliance
Audit Planning
Audit Execution
Documentation Requirements
Confidentiality
Data Protection
Access Rights
Risk Assessment
Reporting Requirements
Non-Compliance
Remediation
Quality Assurance
Record Keeping
Communication Protocol
External Auditor Management
Technology Requirements
Security Controls
Incident Response
Training Requirements
Review and Updates
Enforcement
Exceptions Management
Liability and Indemnification
Breach Notification
Dispute Resolution
Governing Law
Relevant Industries

Financial Services

Healthcare

Government

Technology

Telecommunications

Energy and Utilities

Education

Transportation and Logistics

Manufacturing

Retail

Professional Services

Defense and Security

Critical Infrastructure

Relevant Teams

Information Security

Internal Audit

IT Operations

Risk Management

Compliance

Legal

Data Protection

Security Operations Center

Quality Assurance

Governance

Infrastructure

Development

Executive Leadership

Relevant Roles

Chief Information Security Officer (CISO)

Information Security Manager

IT Audit Manager

Compliance Manager

Risk Manager

Data Protection Officer

IT Director

Security Analyst

Internal Auditor

Cybersecurity Specialist

Information Security Analyst

Quality Assurance Manager

Governance Manager

IT Operations Manager

Security Operations Manager

Industries
Federal Decree Law No. 45 of 2021: The UAE's Personal Data Protection Law, which establishes requirements for processing and protecting personal data, including audit requirements for data protection compliance.
Federal Law No. 2 of 2019: Concerning the Use of Information and Communication Technology in Healthcare, which sets specific requirements for handling and auditing healthcare data security.
UAE Federal Law No. 5 of 2012 (Cybercrime Law): Covers cybercrime prevention and information security requirements, which must be considered in security audit policies.
UAE Information Assurance Standards (IAS): Published by the UAE National Electronic Security Authority (NESA), providing mandatory security standards for government entities and critical infrastructure.
Cabinet Resolution No. 21 of 2013: Concerning the Security of Government Information Systems, which establishes requirements for security controls and audits in government entities.
SCA Decision No. 21/R.M of 2020: Securities and Commodities Authority regulation on cybersecurity controls for financial sector entities, including audit requirements.
Dubai Data Law (Law No. 26 of 2015): For organizations operating in Dubai, establishes framework for data classification and protection, affecting security audit requirements.
ADGM Data Protection Regulations 2021: Specific to Abu Dhabi Global Market, providing detailed requirements for data protection and security audits in the financial free zone.
Teams

Employer, Employee, Start Date, Job Title, Department, Location, Probationary Period, Notice Period, Salary, Overtime, Vacation Pay, Statutory Holidays, Benefits, Bonus, Expenses, Working Hours, Rest Breaks,  Leaves of Absence, Confidentiality, Intellectual Property, Non-Solicitation, Non-Competition, Code of Conduct, Termination,  Severance Pay, Governing Law, Entire Agreemen

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