Plaid Security Questionnaire (v6)

Plaid Security Questionnaire (v6).md

Plaid Security Questionnaire (v6)

Part One

Hosting (inf_sec_hosting)

1. What is your organization's strategy for hosting the server-side components of your application?
   • On-prem hosting - We host all server-side components of our application using on-premise physical infrastructure
   • Cloud hosting - We host all server-side components of our application using off-premise cloud infrastructure
   • Hybrid - We use a hybrid on-premise and cloud model for hosting server-side components of our application
   • Other - Please see comments

Governance (inf_sec_governance)

2. Does your organization have a documented information security policy that has been operationalized to identify, mitigate, and monitor information security risks, including physical security when applicable, relevant to your business?
   • Yes - We have a documented policy and an operational information security program (document attached)
   • No - We have an operational information security program, but no documented policy
   • No - We have a documented information security policy, but no operational program (document attached)
   • No - We do NOT have a documented policy or an operational information security program
   • Other - Please see comments

Asset Management (inf_sec_endpoint_visibility)

3. Does your organization have a mechanism for discovering and maintaining visibility into all network endpoints connected to your corporate and production networks?

[NOTE: A network endpoint in this context is an asset connected to your corporate OR production network--like a laptop or a server instance]

• Yes - We have tools and processes that enable us to discover and maintain continuous visibility into all of our network endpoints
• No - We have asset visibility tools deployed, but no defined process for discovering or maintaining continuous visibility into all of our network endpoints
• No - We do NOT have tools or processes enable us to discover and maintain continuous visibility into all of our network endpoints
• Other - Please see comments

inf_sec_vulnerability_management

4. Do you actively perform vulnerability scans against your employee and contractor machines (e.g. laptops) and production assets (e.g. server instances) to detect and patch vulnerabilities?
   • Yes - We actively perform vulnerability scans against all employee and contractor machines, production assets, and patch vulnerabilities using a defined SLA
   • No - We actively perform vulnerability scans against all employee and contractor machines, and production assets, but we do not patch vulnerabilities using a defined SLA
   • No - We patch vulnerabilities using an ad-hoc process, but do not actively perform vulnerability scans against all employee and contractor workstations or production assets
   • Other - Please see comments

inf_sec_malicious_code

5. Do you use endpoint security tools and agents to protect employee and contractor machines (e.g. laptops) and production assets (e.g. mutable server instances) against malicious code (e.g. viruses and malware)?
   • Yes - We protect all employee and contractor machines, and all production assets (e.g. mutable server instances) against malicious code (e.g. viruses and malware)
   • No - We do NOT protect all employee and contractor machines, and all production assets (e.g. mutable server instances) against malicious code (e.g. viruses and malware)
   • Other - Please see comments

inf_sec_personal_devices

6. Does your organization allow employees and contractors to use their personal devices (BYOD) for carrying out their job responsibilities?
   • No - We do NOT allow employee or contractor personal devices to be used for carrying out their job responsibilities
   • Yes - We allow employee or contractor personal devices to be used for carrying out their job responsibilities, and these devices are centrally managed by us
   • Yes - We allow employee or contractor personal devices to be used for carrying out their job responsibilities, and these devices are NOT centrally managed by us
   • Yes - We allow employee or contractor personal devices to be used for carrying out their job responsibilities, but these devices do not have access to production assets, environments, or data
   • Other - Please see comments

Access Controls (inf_sec_access_governance)

7. Does your organization have a defined process for controlling access to production assets and data?
   • Yes - We have defined processes for requesting, granting, reviewing, approving, and revoking access to production assets and data
   • No - We do NOT have defined processes for requesting, granting, reviewing, approving, and revoking access to production assets and data
   • Other - Please see comments

inf_sec_access_authentication

8. Has your organization deployed strong factors of authentication (e.g. 2-factor authentication) for all critical assets?
   • Yes - We have deployed strong factors of authentication (e.g. 2-factor authentication) for all production assets
   • No - We have NOT deployed strong factors of authentication (e.g. 2-factor authentication) for all production assets
   • Other - Please see comments

Part Two

Change Controls (inf_sec_change_governance)

9. Does your organization have a defined process for building and releasing code changes to production assets?
   • Yes - We have a defined process for building and releasing code changes to production assets
   • No - We do NOT have a defined process for building and releasing code changes to production assets
   • Other - Please see comments

inf_sec_change_testing

10. Does your organization enforce the testing of code changes before they're deployed to production assets?
    • Yes - We logically enforce the testing of code changes before they're deployed to production assets
    • No - We do NOT logically enforce the testing of code changes before they're deployed to production assets
    • Other - Please see comments

inf_sec_change_code_reviews

11. Does your organization logically enforce the review and approval of code changes before they are deployed to production assets?
    • Yes - We logically enforce the review and approval of code changes before they are deployed to production assets
    • No - We do NOT logically enforce the review and approval of code changes before they are deployed to production assets
    • Other - Please see comments

Cryptography (inf_sec_encrypt_in_transit)

12. Does your organization encrypt data-in-transit between clients and servers using TLS 1.2 or better?
    • Yes - We use TLS 1.2 or better for all client-server communications
    • No - We do NOT use TLS 1.2 or better for all client-server communications
    • Other - Please see comments

inf_sec_encrypt_at_rest

13. Does your organization encrypt consumer data you receive from the Plaid API data-at-rest?
    • Yes - We encrypt consumer data retrieved from the Plaid API using object/column level encryption, and volume-level encryption
    • Yes - We encrypt consumer data retrieved from the Plaid API volume-level encryption
    • No - We do NOT encrypt consumer data retrieved from the Plaid API at-rest
    • Other - Please see comments

Logging and Monitoring (inf_sec_audit_trail)

14. Does your organization maintain a robust audit trail and logs for all material events that occur in your production assets?
    • Yes - We maintain robust audit trails and logs for all material events that occur in our production assets
    • No - We do NOT maintain robust audit trails and logs for all material events that occur in our production assets
    • Other - Please see comments

inf_sec_monitoring_alerting

15. Does your organization have monitoring and alerting mechanisms for real-time detection and triage of events that may negatively impact the security of production assets?
    • Yes - We have monitoring and alerting mechanisms for real-time detection and triage of events that may negatively impact the security of production assets
    • No - We do NOT have monitoring and alerting mechanisms for real-time detection and triage of events that may negatively impact the security of production assets
    • Other - Please see comments

Part Three

Incident Management (inf_sec_incident_management)

16. Does your organization have a defined process for detecting, triaging, and resolving security impacting incidents?
    • Yes - We have a defined process for detecting, triaging, and resolving security impacting incidents
    • No - We do NOT have a defined process for detecting, triaging, and resolving security impacting incidents
    • Other - Please see comments

Network Segmentation (inf_sec_network_segmentation)

17. Are your organization's cloud and on-prem production networks segmented based on the sensitivity of assets in those networks, and their needed exposure to the open internet?
    • Yes - Our cloud and on-prem production networks are segmented based on the sensitivity of assets in each sub-network, and their needed exposure to the open internet
    • No - Our cloud and on-prem production networks are NOT segmented based on the sensitivity of assets in each sub-network, and their needed exposure to the open internet
    • Other - Please see comments

Awareness and Training (inf_sec_awareness_training)

18. Does your organization train all employees and contractors on security awareness?
    • Yes - We train all employees and contractors on security awareness during on-boarding and on an ongoing basis
    • Yes - We train all employees and contractors on security awareness during on-boarding, but not an an ongoing basis
    • No - We do NOT train all employees and contractors on security awareness
    • Other - Please see comments

Vendor Management (inf_sec_vendor_management)

19. Does your organization have a defined vendor intake and monitoring process that is communicated to the company, and is enforced by technical and administrative controls?
    • Yes - We have a defined vendor intake and monitoring process that is communicated to the company, and is enforced by technical and administrative controls
    • No - We do NOT have a defined vendor intake and monitoring process that is communicated to the company, and is enforced by technical and administrative controls
    • Other - Please see comments

Independent Testing (inf_sec_independent_testing)

20. Does your organization test the overall effectiveness of our information security program using independent auditors, and perform pen-testing using independent pen-testers?
    • Yes - We test the overall effectiveness of our information security program using independent auditors, and perform pen-testing using independent pen-testers (document attached)
    • Yes - We test the overall effectiveness of our information security program using independent auditors, but we do NOT perform pen-testing using independent pen-testers (document attached)
    • Yes - We perform pen-testing using independent pen-testers, but do not test the overall effectiveness of our information security program using independent auditors
    • No - We do NOT test the overall effectiveness of our information security program using independent auditors, or perform pen-testing using independent pen-testers
    • Other - Please see comments

HR (inf_sec_hr_screening)

21. Does your organization perform background checks on all employees and contractors?
    • Yes - Background checks are performed on all employees and contractors prior to being offered employment, and at least annually afterwards
    • Yes - Background checks are performed on all employees and contractors prior to being offered employment
    • No - Background checks are NOT performed on all employees and contractors
    • Other - Please see comments

Consumer Consent (privacy_consumer_consent)

22. Does your organization obtain consent from consumers for your organization's collection, processing, and storing of their data?
    • Yes - We obtain consent directly from consumers
    • No - We do not obtain consent directly from consumers
    • Other - Please see comments

Data Minimization (privacy_data_minimization)

23. Does your organization have a defined and enforced data deletion and retention policy that is in-compliance with applicable data privacy laws?
    • Yes - We have a defined and enforced data deletion and retention policy that is in-compliance with applicable data privacy laws (document attached)
    • Yes - We have defined and enforced a terms of service in-compliance with applicable data privacy laws (document attached)
    • No - We do NOT have a defined and enforced data deletion and retention policy or a terms of service that is in-compliance with applicable data privacy laws
    • Other - Please see comments

Data Usage (privacy_data_usage)

24. Does your organization sell consumer data accessed through the Plaid API?
    • No - We do NOT sell consumer data retrieved from the Plaid API
    • Yes - We sell consumer data retrieved from the Plaid API
    • Other - Please see comments

2FA (client_2fa)

25. Does your organization enforce 2FA on your client-facing mobile and/or web applications?
    • Yes - We enforce 2FA using a Security Key or Biometrics
    • Yes - We enforce 2FA using Push Notification to Device (e.g. Duo Push or Google Device Prompt or similar) or Time-based One-Time Password (e.g. Google Authenticator App or similar with rotating code)
    • Yes - We enforce 2FA using SMS-based or Email-based push OTP
    • Yes - We enforce knowledge-based MFA (MFA questions)
    • No - We don't currently enforce any type of 2FA in our client-facing application
    • Other - Please see comments

From https://dashboard.plaid.com/overview/questionnaire-start.