Tech Due Diligence SEC-6: Security Certifications and Compliance Framework

Start by identifying which certifications your target market actually requires. SOC 2 Type II is the standard expectation for B2B SaaS companies selling to US enterprise customers. ISO 27001 is the international equivalent and is often required by European enterprises. Industry-specific certifications like HITRUST (healthcare) or PCI DSS (payment processing) may also be needed depending on your vertical. If you are not yet certified, build a realistic roadmap. SOC 2 Type I can typically be achieved in 3-6 months. Type II requires an observation period of at least 3 months after Type I (6-12 months is recommended). ISO 27001 certification usually takes 6-12 months from commitment to completion. Put a compliance programme in place that supports ongoing certification, not just initial achievement. You need a policy framework covering information security, access control, data protection, incident management, and business continuity. Map your controls to certification requirements, set up continuous monitoring with evidence collection, run regular internal audits, and consider a GRC platform to manage it all. Build an efficient process for handling customer security questionnaires. Maintain a library of pre-approved responses, designate a responsible team, and track turnaround times. A public trust centre or security page that proactively shares your security posture can reduce inbound questionnaire volume significantly. Stay audit-ready year-round. Collect evidence of control operation continuously, not in a scramble before the auditor arrives. Automated evidence collection makes this sustainable and ensures your evidence is continuous rather than point-in-time. Track audit findings rigorously. Maintain a finding register with remediation owners and defined timelines. Close findings promptly. Recurring findings across consecutive audits signal systemic problems that need root-cause resolution, and DD reviewers notice this pattern immediately.