A practical checklist guiding financial entities and ICT providers through DORA compliance,
covering scope, ICT risk management, incident reporting, third-party risk, resilience testing, and
audits.
法務12 5月, 2026
The DORA compliance checklist
主なポイント
- Operational resilience is now a regulatory obligation, not an IT issue. DORA makes boards and senior leaders directly accountable for ICT risk management, incident response, and digital resilience across the enterprise.
- Third-party ICT risk is a core driver of enterprise risk exposure. Organizations must formally assess, contract, monitor, and test the resilience of critical ICT service providers to reduce systemic and concentration risk.
- Resilience must be tested, measured, and continuously improved. Regular resilience testing—including advanced threat-led testing—shifts organizations from compliance checklists to proven operational readiness.
- DORA aligns compliance with long-term competitive advantage. Beyond avoiding penalties, strong DORA alignment enhances stakeholder trust, reduces disruption risk, and strengthens market confidence.
Preliminary steps for DORA compliance
Understand DORA’s scope (Article 2)
☐ Review the regulation in detail and analyze your organization’s operations to see if it qualifies as a financial entity or critical third-party information and communication technology (ICT) service provider.
☐ Understand the specific requirements relevant to your organization’s role within the financial ecosystem, such as ICT risk management or incident reporting.
Conduct a gap analysis
☐ Identify where existing ICT risk management frameworks and practices diverge from DORA’s requirements per Article 5 (Article 5).
☐ Evaluate current governance structures, ICT incident response protocols (Article 17), third-party risk management (TPRM) strategies (Articles 28-30), and resilience testing measures to ensure alignment with DORA.
☐ Review existing documentation, such as business continuity plans and ICT policies, to identify weaknesses or areas requiring updates.
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