DORA Regulation: Compliance Advisory for Financial Entities

DORA requires financial institutions to conduct regular internal ICT audits and prepares them for external supervisory reviews by BaFin and statutory auditors. We guide you through the full DORA audit cycle - from internal audit programs to supervisory examination readiness.

Successful DORA compliance verification requires systematic preparation, documented evidence, and, for identified financial entities, TIBER-EU-aligned Threat-Led Penetration Tests (TLPT). We guide you through every phase: from gap assessment and audit readiness to BaFin/ECB-compliant TLPT execution.

From gap analysis to audit support. DORA has been mandatory since 17 January 2025, and BaFin is acting: over 600 reported ICT incidents, ongoing §44 special audits, and in Q3 2025 the first DORA fine proceedings due to inadequate ICT third-party documentation. The new IDW audit standard EPS 528 defines how statutory auditors will assess your DORA compliance. We make your organization audit-ready, across all five DORA pillars, based on our ISO 27001-certified methodology and years of BAIT/MaRisk experience in the financial sector.

Our DORA Compliance Checklist guides financial entities through all five DORA pillars, from initial gap analysis and self-assessment through to BaFin-aligned documentation and continuous monitoring.

Choosing the right DORA compliance software is critical for audit-proof implementation. We support financial institutions in evaluating, selecting, and integrating GRC platforms that cover all five DORA pillars, from the ICT register to incident reporting and third-party risk management.

DORA requires financial entities to maintain comprehensive documentation of their digital operational resilience. We support you in building a complete documentation system - from ICT risk management policies to the supervisory information register.

DORA Article 5 makes the management body personally accountable for the ICT risk management framework, digital resilience strategy, and governance structures. We help financial institutions build DORA-compliant governance, from board-level oversight to the three lines model.

An existing ISO 27001 certification covers approximately 85% of DORA requirements, but the remaining gaps are critical: TLPT resilience testing, ICT third-party contract management, and the Register of Information go beyond ISO 27001. We build precise control mappings, identify your specific DORA gaps, and design an integrated compliance framework that connects both standards efficiently.

Full DORA implementation requires more than documentation, it demands operational execution across all five pillars. We guide you from gap analysis through phased delivery to BaFin audit readiness.

DORA and NIS2 together shape European cybersecurity regulation, but who must comply with what? Understand the key differences between DORA and NIS2, the lex specialis principle for financial institutions, and how to efficiently coordinate both regulations.

Implementing DORA-compliant network segmentation under Article 9 DORA for financial institutions. We design bespoke Zero Trust architectures and microsegmentation concepts to isolate critical ICT systems and meet all DORA network security requirements.

The DORA Register of Information (RoI) must be submitted annually to national supervisors, with the March 2026 BaFin deadline now passed, preparation for the next cycle starts now. We help financial entities build EBA ITS-compliant registers, maintain accurate ICT third-party contract data, and submit on time.

The Digital Operational Resilience Act (DORA) has been fully applicable since January 2025, establishing mandatory requirements for approximately 22,000 financial entities across the EU. The five pillars, ICT risk management, incident management, resilience testing, third-party risk management, and information sharing, must all be implemented. Discover what DORA requires and how ADVISORI supports your compliance journey.

DORA mandates comprehensive SIEM monitoring for all ICT systems supporting critical functions in financial institutions. We implement and optimize your SIEM architecture for DORA-compliant real-time threat detection, automated incident classification, and audit-ready log management, ensuring your institution meets BaFin and ECB supervisory requirements.

The DORA scope of application covers 20 types of financial entities, from credit institutions and insurers to crypto-asset service providers and ICT third-party providers. We help you precisely determine your entity classification, assess third-party obligations, and build a proportionate compliance strategy.

DORA (Digital Operational Resilience Act) has been fully applicable since January 17, 2025, all requirements are in force with no general grace period. We help you navigate every key deadline, RTS milestone and regulatory date to achieve timely, sustainable DORA compliance.

Comprehensive vulnerability scanning and management is fundamental to DORA compliance and proactive security operations. We support you in implementing systematic vulnerability assessment programs that not only meet regulatory requirements but also provide actionable intelligence for strengthening your security posture and operational resilience.

ECB Banking Supervision requires all significant institutions to submit a concrete action plan addressing AI-enabled cyber threats to their Joint Supervisory Team by 31 October 2026. We deliver your action plan in four weeks: a gap assessment against the six ECB focus areas, prioritised measures with timelines and responsibilities, aligned with your existing cyber risk strategy and DORA programmes. Documented to supervisory standards, JST-ready.