Crucial compliance frameworks your communications vendor should follow: information security and quality management standards

Every message you send out to your customers is governed by compliance frameworks, many of which are complex. When you turn to a vendor to manage that activity, the organization must understand the complexity of your regulatory landscape and how to handle your data securely. 

Two crucial compliance frameworks your communications vendors must follow are information security and quality management standards. 

Information security standards

Compliance isn't just about meeting regulations; it's about building trust and reducing risk. When a company follows recognized standards and frameworks, it ensures data is handled securely, processes are consistent, and legal obligations are met. This lowers the chance of costly breaches or penalties, improves operational efficiency, and demonstrates accountability to customers and partners. 

System and Organization Controls Audits (SOC)

The American Institute of CPAs (AICPA) created SOC reports to provide a framework for evaluating the effectiveness of an organizations' controls, particularly in service industries where data security and privacy is critical. 

The SOC1 report is intended to provide clients with assurance over key servicing controls that may have a financial impact on the clients' financial statements. 

The SOC2 report is intended to demonstrate the effectiveness of data protection and security controls based on the Trust Services Criteria which include security, availability, processing integrity, confidentiality and privacy. 

ISO/IEC 27002

An international standard to help organizations manage their information security risks with a focus on cybersecurity and privacy protection. It's crucial for organizations that collect, process and store sensitive information. 

NIST Cybersecurity Framework (CSF)

The NIST Cybersecurity Framework (CSF) is a widely recognized guide that helps organizations manage and reduce cybersecurity risks. It's built around five core functions—Identify, Protect, Detect, Respond, and Recover—which provide a clear roadmap for improving security posture. NIST CSF is a practical tool for building resilience against cyber threats.

What Computershare does

Computershare has a comprehensive information security policy framework that is aligned with ISO/IEC 27001 and associated ISO/IEC 27002 standards. The policy and standards apply to all geographic locations. Information security is regarded as a critical business function that is supported by a global and regional management team that includes dedicated cyber defense and cyber assurance resources.  Our team delivers technologies, processes and controls designed to protect Computershare networks, systems, applications and data from attack, damage or unauthorized access. We actively support the business and client needs whilst reducing risk.

Computershare Technology Services undergoes annual SOC1 and SOC 2 audits. It's an important process intended to help earn the trust of our clients by demonstrating our commitment to protecting their information. 

Having controls aligned and tested against industry Standards saves our clients time and resources and helps to streamline compliance.

Other risk considerations 

When you're choosing a vendor for your customer communications, you must also consider the company's risk and security practices. Here are some of the topics you should ask about: 

• Operational resilience
• Data governance 
• Client assurance 

Operational resilience

Operational resilience is not just about how an organization can continue to operate during a disruption, it's a holistic approach to ensure they can withstand, adapt to, and recover effectively.

Even a brief interruption to operations or lost mailings (such as proxies, checks, and regulatory notices) can lead to compliance violations and/or financial losses. That's why it's crucial your customer communications providers have tested business continuity and disaster recovery plans to ensure delivery in all conditions. Resilience and continuity strategies should be proactive, encompassing people, process, technology and third-party dependencies. Many regulators now require operational resilience frameworks that go beyond continuity, focusing on impact tolerance and critical services. It's tied to risk management, cybersecurity, and supply chain resilience.

Data governance 

Strong data governance is the backbone of responsible business in today's digital world. It ensures that data is accurate, secure, and used ethically reducing risks like breaches, compliance violations, and costly mistakes. Good governance also improves transparency and trust, making collaboration easier and reliable. It's important to work with an organization with solid data governance practices that protect your information, strengthen compliance, and help you operate with confidence. 

Client assurance

Your customer communications provider is bound by fiduciary-like responsibilities to protect your data and reputation. They're accountable to you. 

Transparency is key so working with service providers who understand the importance of common practices like third party due diligence and audits to ensure they can provide the right level of assurance to meet regulatory and business needs is essential.

ISO 9001 Quality Management standard

ISO 9001:2015

ISO 9001:2015 is an international standard that helps organizations deliver consistent quality and improve customer satisfaction. It supports building strong processes—covering everything from planning and operations to continuous improvement. It provides a flexible framework to ensure products and services consistently meet expectations. Our quality management system is certified to ISO 9001:2015 by Bureau Veritas.  

What Computershare does

By partnering with Computershare, clients can count on the strength of our Quality Management System, built on ISO 9001:2015 principles. For more than a decade, this framework has driven our commitment to quality—ensuring we consistently meet customer expectations, reduce errors, and improve efficiency.

Computershare: the experienced vendor companies trust

At Computershare, we treat your data like it's our own. Our deep knowledge of the regulatory landscape and our reputation for regulatory compliance gives you confidence in every communication. To learn more about our adherence to compliance frameworks, contact us today.