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12. Security Operations Requirements
DORA mandates implementation of state-of-the-art security operations capabilities to protect financial entities and key providers against ICT disruptions and cyber threats.

by Sylvan Ravinet

The StratOps way to accelerate DORA
This guide on Security Operations Requirements can help you achieve DORA compliance. Faster. Part of my 12-capabilities cyber framework.
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1. Introduction and Regulatory Foundation
DORA mandates financial entities to implement "state of the art" security operations capabilities to protect against ICT disruptions and cyber threats. This guide provides actionable steps for compliance while integrating with broader ICT risk frameworks.
The goal is to ensure financial entities can:
  • Protect critical financial services from cyber threats and operational disruptions
  • Maintain the confidentiality, integrity, and availability of financial data
  • Respond effectively to emerging security challenges
  • Build trust with customers and regulators through robust security practices
1.1. Key Regulatory Sources
  • DORA Regulation (EU 2022/2554)
  • Article 5: ICT risk management framework requirements
  • Article 9: Protection and prevention measures
  • Article 11: Incident detection capabilities
  • Article 13: Resilience testing requirements
  • RTS 2024/1774
  • Articles 11-14: Data and system security measures
  • Articles 33-38: Access control and operations
  • Articles 6-7: Cryptographic controls
1.2. Core Requirements
  1. Maintain secure and resilient ICT systems through state-of-the-art practices
  1. Prevent unauthorized access to systems and data
  1. Detect and remediate vulnerabilities promptly
  1. Continuously adapt security controls to evolving threats
2. Security Operations Framework
Each component of the security operations framework serves specific business and security objectives:
2.1. Identity and Access Management
[RTS 2024/1774 Articles 33-38]
Identity and access management forms the foundation of security by ensuring only authorized users can access sensitive systems and data. This protects against both external threats and internal risks.
2.2. Network Security
[RTS 2024/1774 Articles 11-14]
Network security creates multiple layers of defense to protect financial services from cyber attacks while ensuring legitimate business traffic flows securely. This defense-in-depth approach helps contain potential breaches and maintain service availability.
2.3. Cryptographic Controls
[RTS 2024/1774 Articles 6-7]
Cryptography protects the confidentiality and integrity of financial data throughout its lifecycle. Strong encryption ensures that even if other controls fail, sensitive data remains protected from unauthorized access or tampering.
2.4. Vulnerability Management
[RTS 2024/1774 Article 10]
Proactive vulnerability management helps identify and fix security weaknesses before they can be exploited by attackers. This reduces the attack surface and helps maintain system integrity.
2.5. Patch Management
[RTS 2024/1774 Article 15]
Timely patch management ensures systems are protected against known vulnerabilities while maintaining operational stability. This balances security needs with business continuity requirements.
3. Integration Requirements
Security operations must integrate seamlessly with other StratOps'Cyber capabilities to be effective:
3.1. Asset Management
Asset management integration ensures security controls are appropriately matched to business-critical systems and data. This risk-based approach optimizes security investments and focuses protection on what matters most.
Implementation requirements:
  • Align security controls with asset classification
  • Monitor critical assets continuously
  • Update security baselines based on criticality
3.2. Incident Management
Integration with incident management enables rapid detection and response to security events, minimizing potential impact on financial services and customers.
Implementation requirements:
  • Feed security events to incident management
  • Maintain response playbooks
  • Enable automated response where appropriate
3.3. Third-Party Security
Third-party security integration helps maintain consistent security controls across the supply chain, protecting against risks from interconnected systems and services.
Implementation requirements:
  • Monitor third-party access
  • Validate security controls
  • Assess provider compliance
3.4. Testing Integration
[RTS 2024/1774 Articles 13, 21-27]
Security operations must support and integrate with the organization's testing program, including resilience testing and TLPT. For comprehensive testing requirements and procedures, refer to the Testing Guide.
Implementation requirements:
  • Support test execution:
  • Provide security monitoring during tests
  • Enable controlled access for testers
  • Monitor for unintended impacts on production
  • Integrate test findings:
  • Update detection rules based on test results
  • Adjust monitoring thresholds and alerts
  • Enhance security controls based on findings
  • Coordinate with testing teams:
  • Align maintenance windows with test schedules
  • Provide necessary system access and logs
  • Support incident response during testing
4. Operational Requirements
Day-to-day security operations must be systematic and measurable:
4.1. Security Monitoring
Continuous monitoring provides real-time visibility into security status and emerging threats, enabling proactive defense and rapid incident response.
Implementation requirements:
  • Implement 24/7 monitoring for critical systems
  • Deploy SIEM/SOAR solutions
  • Establish alert thresholds and escalation
4.2. Documentation Requirements
Comprehensive documentation supports compliance, enables knowledge transfer, and provides evidence of control effectiveness.
Implementation requirements:
  • Maintain security procedures
  • Document configurations
  • Record security incidents
  • Track remediation progress
4.3. Testing and Validation
Regular testing ensures security controls remain effective as threats evolve and business needs change.
Implementation requirements:
  • Regular control testing
  • Configuration validation
  • Security metrics tracking
  • Effectiveness assessment
5. Common Challenges and Solutions
Understanding and addressing common challenges helps maintain effective security operations:
5.1. Resource Constraints
Limited resources can impact security effectiveness, but strategic approaches can help optimize available capabilities.
Implementation solutions:
  • Challenge: Limited security staff
  • Solution:
  • Automate routine tasks
  • Prioritize critical systems
  • Consider managed services
5.2. Technical Complexity
Managing multiple security tools and technologies requires careful integration and automation to maintain effectiveness.
Implementation solutions:
  • Challenge: Multiple security tools
  • Solution:
  • Standardize platforms
  • Integrate solutions
  • Automate workflows
6. Key Success Metrics
Metrics help demonstrate security effectiveness and guide improvements:
  • Security incident metrics: Measure detection and response effectiveness
  • Vulnerability management KPIs: Track risk reduction progress
  • Patch compliance rates: Ensure timely system updates
  • Access review completion: Validate access control effectiveness
  • Security control effectiveness: Assess overall security posture
Links to Related DORA Compliance Themes
For a comprehensive understanding of DORA compliance, this guide aligns with the following related topics:
For detailed implementation guidance, refer to DORA's RTS and ITS documentation and related guides within this compliance series.
The StratOps way to accelerate DORA
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