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SOC 2 Audit

Ensuring Trust and Security through SOC 2 Compliance

For organizations handling sensitive information, meeting customer expectations for data security and privacy is essential. Safeguarding robust data protection is crucial, and the globally recognized SOC 1/2/3 standard provides an excellent framework for your information security management system.

Enhanced Trust and Credibility

Risk Mitigation

Competitive Advantage

Regulatory Compliance

Understanding SOC 2 Compliance

SOC 2 is a cybersecurity compliance framework devised by the American Institute of Certified Public Accountants (AICPA). It specifies how third-party service providers should store, and process organizational and customer data based on five Trusted Services Criteria (TSC): Security, Availability, Processing Integrity, Confidentiality, and Privacy.

Who Should Pursue SOC 2 Certification?

SOC 2 Certification (or Attestation) is globally recognized and applies to any organization handling customer data regardless of the industry, making SOC 2 particularly beneficial for data handling organizations including SaaS providers, financial services, information services and cloud services industries.

Structure of SOC 2

The SOC 2 framework ensures robust protection across five key areas. Security safeguards data against unauthorized access, while Availability guarantees systems are operational and accessible. Processing Integrity ensures that system processing is thorough, accurate, and timely. Confidentiality protects information designated as confidential, and Privacy safeguards personal data in line with privacy commitments.

Someone may call SOC Audit as SOC Certification, SOC Attestation or SOC Examination.
It's literally a kind of audit service with audit reports as the service deliverables.

Type I vs Type II Audits

There are two types of SOC 1/2 audits, each resulting in a specific type of report:

Type I Audit: Evaluates the plan of an organization’s controls at a specific point in time. Ensuring that the controls are well-designed to meet the essential security criteria. It's typically used for a new system or after a significant change.
Type II Audit: Assess the operational effectiveness of an organization’s controls over a period. This type of audit offers comprehensive assurance that the controls are functioning as intended over time.

An organization can choose one type of audit based on its needs. Type II audits are generally more widely acceptable.
Organizations can also conduct Type I Audits in the early stages of implementing SOC and then conduct Type II audits later.

Note: A SOC 3 Audit is always Type II.

Standards for SOC 2 Audits

The typical standard for SOC 2 Audits is AICPA Trust Services Criteria (TSC).

You shall select the audit criteria, audit scope and audit types based on your needs, considering your customers' requirements.

SOC 1 vs SOC 2 vs SOC 3

SOC 1 focuses on Internal Controls over Financial Reporting. It's typically for service providers associated with financial reporting processes for customers.

SOC 2 targets service organizations, assessing non-financial controls based on Trust. It's typically for service providers of cloud computing, hosting, SaaS, data storage or processing, and companies that need to demonstrate security control capabilities to partners or customers.

SOC 3 can be considered a SOC 2 Type II audit with a simplified report for the public. A SOC 3 Report doesn't have detailed descriptions of the auditor’s control tests, test procedures, or test results, but contains the auditor’s opinion, management assertion, and system description.

SOC 2 Audit is most popular among SOC 1, 2, and 3 Audits. Therefore, we focus our introduction on SOC 2 in this webpage.

Steps to Achieve SOC Audit Report

According to its own needs and customer requirements, the organization determines the scope and audit standards of the SOC audit.

The organization requests a quote from the audit body.

The audit body requests necessary information from the organization, such as the operating locations, employee count, business, audit scope, audit standard, audit type, key hardware and software, etc.

The audit body provides a service quote;

Both parties confirm the quote and the approximate schedule of the audit.

The organization establishes and improves its information security management system according to the requirements of the standard, to ensure that controls are in place to meet the standard requirements in daily operations;

The organization can consider seeking assistance from an external consultant for this step.
The organization may choose a software tool that simplifies the compliance process to help achieve operational compliance.

The organizations shall assess the gaps between their current information security controls and the requirements of the standards, and take measures to eliminate these gaps.

The organization conducts internal audits to identify any control gaps and then close them.

Assign tasks and set timelines for each stage of the audit and resolve any issues from previous audits;

The organization may consider a gap analysis audit by the audit body before the formal audit.

Typically, the audit can be done remotely. Somebody may call it an examination.

The outcome of a SOC 2 Audit is a report on a service organization's controls relevant to security, availability, processing integrity, confidentiality, or privacy.

You can opt for continual monitoring of the organization's compliance with SOC 2 criteria.

Cost of SOC 1/2/3 Audit

The cost of SOC Audit varies based on different factors, including the size of the organization, the complexity of the data protection systems, and the number of TSC chosen. We provide customized, no-obligation quotes tailored to your needs.

DQS HK offers SOC 1/2/3 audit services with partners recognized by the AICPA, ensuring that the audits meet the highest standards.

Why DQS?

Over 35 years of experience in certifying management systems.
Industry-experienced auditors offering practical insights.
Practical advice to enhance your organization’s data protection measures.
Internationally accepted certifications that build trust and credibility.

Expertise and approvals for all relevant standards
Personal, smooth support from our specialists - regionally, nationally and internationally
Individual offers with flexible contract periods without hidden costs

Explore Our Information Security & Privacy Services

From ISO 27001 certification and SOC 2 audits to penetration testing, privacy impact assessments (PIA), and security risk assessments (SRAA) — empower your organization to protect critical data, enhance global trust, and meet evolving compliance requirements with confidence.

ISO 27001 Certification

Penetration Testing

Security Risk Assessment & Audit (SRAA)

Privacy Impact Assessment (PIA)

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