Compliance
DORA compliance for AI in EU financial services
DORA treats AI systems as ICT services. Operational resilience, incident reporting, and third-party register obligations all apply. Prism produces the evidence.
- ICT incident reporting within DORA's tight windows
- Third-party AI tool register ready for ESA review
- Operational resilience testing on AI systems
- Threat-led penetration testing evidence (TLPT-aligned)
About this framework
Regulation (EU) 2022/2554, the Digital Operational Resilience Act (DORA), entered force January 17, 2025. It harmonizes ICT risk management across EU financial services and treats AI / ML systems as ICT services. DORA mandates an ICT third-party risk register, major-incident reporting on tight windows, threat-led penetration testing for significant entities, and oversight of critical ICT third-party providers (CTPPs).
Who needs to comply
Industries this applies to
Banking
All EU banks and credit institutions are in scope from Jan 2025.
Insurance
EU insurers and reinsurers fall under DORA's ICT framework.
Asset Management
UCITS managers, AIFMs, and IORPs are in scope.
Fintech
EU-licensed payment institutions, EMIs, and crypto-asset service providers.
Mapping
DORA pillars to Prism evidence
| Obligation | Capability | Evidence |
|---|---|---|
| ICT risk management framework | Prism Model Audits + Evaluations | Pre-deployment audits and continuous quality monitoring on AI systems |
| ICT incident reporting | Prism Sessions + Audit Export | Conversation-level reconstruction; incident export within reporting windows |
| ICT third-party risk register | Prism X Audit Events | Live record of every consumer-AI tool actually used by the workforce |
| Threat-led penetration testing | Prism Red Teaming | Adversarial test catalog and findings, archived per testing cycle |
Obligation
ICT risk management framework
Capability
Prism Model Audits + Evaluations
Evidence
Pre-deployment audits and continuous quality monitoring on AI systems
Obligation
ICT incident reporting
Capability
Prism Sessions + Audit Export
Evidence
Conversation-level reconstruction; incident export within reporting windows
Obligation
ICT third-party risk register
Capability
Prism X Audit Events
Evidence
Live record of every consumer-AI tool actually used by the workforce
Obligation
Threat-led penetration testing
Capability
Prism Red Teaming
Evidence
Adversarial test catalog and findings, archived per testing cycle
Read the source
Go straight to the regulator
Not familiar with this framework? These are the authoritative sources, opened in a new tab.
Built for: Banks, insurers, investment firms, and ICT third-party providers under DORA
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