CFTC System Safeguards (17 CFR 37, 38, 39, 49)
CFTC System Safeguards: Cybersecurity Testing

CFTC System Safeguards (17 CFR 37, 38, 39, 49) CFTC-SS-16: Security Incident Response Plan and Testing

Maintain a written security incident response plan covering the definition and classification of security incidents, reporting policies and procedures, internal and external communication and information sharing, and hand off and escalation points, and test it at a frequency determined by an appropriate risk analysis and no less frequently than annually for covered entities.

Maintained by Gerard BlokdykVerified against the published standard Control text last updated

What else in your programme already covers this

This control maps to 84 controls across 23 other frameworks. If you already hold one of them, the evidence you collected for it is the starting point here rather than new work.

NIST Cybersecurity Framework 2.0 · 10 controls

  • NIST-CSF-DE.AE-02 Potentially adverse events are analyzed to better understand associated activities
  • NIST-CSF-DE.AE-06 Information on adverse events is provided to authorized staff and tools
  • NIST-CSF-DE.AE-08 Incidents are declared when adverse events meet the defined incident criteria
  • NIST-CSF-ID.IM-03 Improvements are identified from execution of operational processes, procedures, and activities
  • NIST-CSF-ID.IM-04 Incident response plans and other cybersecurity plans that affect operations are established, communicated, maintained, and improved
  • NIST-CSF-ID.RA-02 Cyber threat intelligence is received from information sharing forums and sources
  • NIST-CSF-RS.MA-01 The incident response plan is executed in coordination with relevant third parties once an incident is declared
  • NIST-CSF-RS.MA-02 Incident reports are triaged and validated
  • NIST-CSF-RS.MA-03 Incidents are categorized and prioritized
  • NIST-CSF-RS.MA-04 Incidents are escalated or elevated as needed

CIS Controls v8 · 7 controls

  • CIS-17.1 Designate Personnel to Manage Incident Handling
  • CIS-17.3 Establish and Maintain an Enterprise Process for Reporting Incidents
  • CIS-17.4 Establish and Maintain an Incident Response Process
  • CIS-17.5 Assign Key Roles and Responsibilities
  • CIS-17.6 Define Mechanisms for Communicating During Incident Response
  • CIS-17.7 Conduct Routine Incident Response Exercises
  • CIS-17.9 Establish and Maintain Security Incident Thresholds

Azure Security Benchmark · 5 controls

  • ASBv3-GS-7 Define and implement logging, threat detection and incident response strategy
  • ASBv3-IR-1 Preparation - update incident response plan and handling process
  • ASBv3-IR-3 Detection and analysis - create incidents based on high-quality alerts
  • ASBv3-IR-4 Detection and analysis - investigate an incident
  • ASBv3-IR-5 Detection and analysis - prioritize incidents

PCI DSS 4.0 · 5 controls

  • 12.10.1 Incident response plan
  • 12.10.2 IRP reviewed and tested annually
  • 12.10.4 Incident responder training
  • 12.10.5 IRP includes monitoring and response to security control alerts
  • 12.10.6 IRP refined based on lessons learned

Cloud Security Alliance Cloud Controls Matrix (CCM) v4.0.1 · 4 controls

FedRAMP High · 4 controls

  • IR-1 Policy and Procedures
  • IR-3 Incident Response Testing
  • IR-4 Incident Handling
  • IR-8 Incident Response Plan

FedRAMP Moderate · 4 controls

  • IR-1 Policy and Procedures
  • IR-3 Incident Response Testing
  • IR-4 Incident Handling
  • IR-8 Incident Response Plan

ISO 27001:2022 · 4 controls

  • 5.24 Information security incident management planning and preparation
  • 5.25 Assessment and decision on information security events
  • 5.26 Response to information security incidents
  • 6.8 Information security event reporting

ISO 27002:2022 · 4 controls

  • 5.24 Information security incident management planning and preparation
  • 5.25 Assessment and decision on information security events
  • 5.26 Response to information security incidents
  • 6.8 Information security event reporting

NIST SP 800-161 Rev 1 · 4 controls

NIST SP 800-171 Rev 3 · 4 controls

NIST SP 800-53 Rev 5 · 4 controls

NIST SP 800-53 Rev 5 MODERATE · 4 controls

  • IR-1 Policy and Procedures
  • IR-3 Incident Response Testing
  • IR-4 Incident Handling
  • IR-8 Incident Response Plan

NIST SP 800-53 Revision 5.1 HIGH · 4 controls

  • IR-1 Policy and Procedures
  • IR-3 Incident Response Testing
  • IR-4 Incident Handling
  • IR-8 Incident Response Plan

NIST SP 800-53 Rev 5 LOW · 3 controls

  • IR-1 Policy and Procedures
  • IR-4 Incident Handling
  • IR-8 Incident Response Plan

C5 (Germany) · 2 controls

  • C5-OPS-20 Managing Vulnerabilities, Malfunctions and Errors - Measurements, Analyses and Assessments of Procedures
  • C5-SIM-01 Policy for security incident management

CMMC 2.0 · 2 controls

DORA · 2 controls

  • DORA-Art.17 ICT-related incident management process
  • DORA-Art.18 Classification of ICT-related incidents and cyber threats

HIPAA Security Rule · 2 controls

NIST SP 800-66 Rev 2 · 2 controls

SOC 2 · 2 controls

  • SOC2-CC7.3 Evaluates security events to determine incident status
  • SOC2-CC7.4 Responds to identified security incidents through defined procedures

APRA CPS 230 Operational Risk Management · 1 control

  • CPS230-27 Identification and Escalation of Incidents and Near Misses

ISO 22301:2019 · 1 control

Every mapping shown was judged rather than inferred from wording similarity, and the ones that failed review are published too. See the coverage reports and what was rejected.

Other controls in CFTC System Safeguards: Cybersecurity Testing

You are reading one control. How much of CFTC System Safeguards (17 CFR 37, 38, 39, 49) have you already done?

CFTC System Safeguards (17 CFR 37, 38, 39, 49) CFTC-SS-16 is one control. If you already hold one of the frameworks below, a reviewed crosswalk already says how much of CFTC System Safeguards (17 CFR 37, 38, 39, 49) your existing evidence covers. Hold NIST Cybersecurity Framework 2.0 and 28 of 39 CFTC System Safeguards (17 CFR 37, 38, 39, 49) controls already carry evidence.

If you hold NIST Cybersecurity Framework 2.071.8% covered · 11 gapsIf you hold FedRAMP Moderate69.2% covered · 12 gapsIf you hold Cloud Security Alliance Cloud Controls Matrix (CCM) v4.0.161.5% covered · 15 gapsIf you hold C5 (Germany)59% covered · 16 gapsIf you hold DORA51.3% covered · 19 gapsIf you hold NIST SP 800-161 Rev 148.7% covered · 20 gaps

Each report names every control your existing framework evidences, every one it does not, the reasoning behind each claim, and the claims that were argued against and rejected. 5 were rejected on the NIST Cybersecurity Framework 2.0 pair alone.

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The graph holds this control, the 84 it maps to, and the evidence behind each claim, over MCP and REST.

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