CISA-KR 문제 496
IS 감사원은 최근 보안 사고를 후속 조치하여 사고 대응이 적절하지 않았다는 것을 발견했습니다.
다음 중 가장 중요하다고 여겨지는 결과는 무엇입니까?
다음 중 가장 중요하다고 여겨지는 결과는 무엇입니까?
정답: A
The most critical finding for an IS auditor following up on a recent security incident is that the security weakness facilitating the attack was not identified. This finding indicates that the root cause of the incident was not analyzed, and the vulnerability that allowed the attack to succeed was not remediated. This means that the organization is still exposed to the same or similar attacks in the future, and its security posture has not improved. Identifying and addressing the security weakness is a key step in the incident response process, as it helps to prevent recurrence, mitigate impact, and improve resilience.
The other findings are not as critical as the failure to identify the security weakness, but they are still important issues that should be addressed by the organization. The attack was not automatically blocked by the intrusion detection system (IDS) is a finding that suggests that the IDS was not configured properly, or that it did not have the latest signatures or rules to detect and prevent the attack. The attack could not be traced back to the originating person is a finding that implies that the organization did not have sufficient logging, monitoring, or forensic capabilities to identify and attribute the attacker. Appropriate response documentation was not maintained is a finding that indicates that the organization did not follow a consistent and formal incident response procedure, or that it did not document its actions, decisions, and lessons learned from the incident.
References:
* ISACA CISA Review Manual 27th Edition (2019), page 254
* Incident Response Process - ISACA1
* Incident Response: How to Identify and Fix Security Weaknesses
The other findings are not as critical as the failure to identify the security weakness, but they are still important issues that should be addressed by the organization. The attack was not automatically blocked by the intrusion detection system (IDS) is a finding that suggests that the IDS was not configured properly, or that it did not have the latest signatures or rules to detect and prevent the attack. The attack could not be traced back to the originating person is a finding that implies that the organization did not have sufficient logging, monitoring, or forensic capabilities to identify and attribute the attacker. Appropriate response documentation was not maintained is a finding that indicates that the organization did not follow a consistent and formal incident response procedure, or that it did not document its actions, decisions, and lessons learned from the incident.
References:
* ISACA CISA Review Manual 27th Edition (2019), page 254
* Incident Response Process - ISACA1
* Incident Response: How to Identify and Fix Security Weaknesses
CISA-KR 문제 497
조직의 엔터프라이즈 아키텍처(EA) 부서는 원래 기능을 유지하면서 레거시 시스템의 구성 요소를 변경하기로 결정했습니다. IS 감사자가 이 결정을 검토할 때 이해해야 할 가장 중요한 것은 다음 중 무엇입니까?
정답: A
When reviewing an enterprise architecture (EA) department's decision to change a legacy system's components while maintaining its original functionality, an IS auditor should understand the current business capabilities delivered by the legacy system, as this would help to evaluate whether the change is justified, feasible, and aligned with the business goals and needs. The proposed network topology to be used by the redesigned system, the data flows between the components to be used by the redesigned system, and the database entity relationships within the legacy system are technical details that are less relevant for an IS auditor to understand when reviewing this decision. References: CISA Review Manual (Digital Version), Chapter 3, Section 3.2
CISA-KR 문제 498
다음 중 대형 금융 기관의 지속적인 감사를 위한 가장 적합한 프로세스는 무엇입니까?
정답: B
The best process for continuous auditing for a large financial institution is validating access controls for real- time data systems. This is because access controls are critical for ensuring the confidentiality, integrity, and availability of the financial data that is processed and transmitted by the real-time data systems. Real-time data systems are systems that provide timely and accurate information to support decision-making and transactions in a dynamic and complex environment. Examples of real-time data systems in the financial sector include payment systems, trading platforms, risk management systems, and fraud detection systems.
Continuous auditing of access controls can help detect and prevent unauthorized access, data leakage, data manipulation, or data loss that could compromise the security, reliability, or compliance of the real-time data systems.
Testing encryption standards on the disaster recovery system is not the best process for continuous auditing for a large financial institution. Encryption standards are important for protecting the data stored or transmitted by the disaster recovery system, which is a system that provides backup and recovery capabilities in case of a disruption or disaster. However, testing encryption standards is not a continuous process, but rather a periodic or event-driven process that can be performed as part of the disaster recovery plan testing or validation.
Performing parallel testing between systems is not the best process for continuous auditing for a large financial institution. Parallel testing is a process of comparing the results of two or more systems that perform the same function or task, such as a new system and an old system, or a primary system and a backup system.
Parallel testing can help verify the accuracy, consistency, and compatibility of the systems. However, parallel testing is not a continuous process, but rather a temporary or transitional process that can be performed as part of the system implementation or migration.
Validating performance of help desk metrics is not the best process for continuous auditing for a large financial institution. Help desk metrics are indicators that measure the efficiency, effectiveness, and quality of the help desk service, which is a service that provides technical support and assistance to the users of information systems and technology. Help desk metrics can include metrics such as response time, resolution time, customer satisfaction, and service level agreement (SLA) compliance. Validating performance of help desk metrics can help evaluate and improve the help desk service. However, validating performance of help desk metrics is not a continuous auditing process, but rather a continuous monitoring process that can be performed by the help desk management or quality assurance team.
References:
* All eyes on: Continuous auditing - KPMG Global 1
* Internal audit's role at financial institutions: PwC 2
* The Fed - Supervisory Policy and Guidance Topics - Large Banking ... 3
* Continuous Audit: Definition, Steps, Advantages and Disadvantages 4
Continuous auditing of access controls can help detect and prevent unauthorized access, data leakage, data manipulation, or data loss that could compromise the security, reliability, or compliance of the real-time data systems.
Testing encryption standards on the disaster recovery system is not the best process for continuous auditing for a large financial institution. Encryption standards are important for protecting the data stored or transmitted by the disaster recovery system, which is a system that provides backup and recovery capabilities in case of a disruption or disaster. However, testing encryption standards is not a continuous process, but rather a periodic or event-driven process that can be performed as part of the disaster recovery plan testing or validation.
Performing parallel testing between systems is not the best process for continuous auditing for a large financial institution. Parallel testing is a process of comparing the results of two or more systems that perform the same function or task, such as a new system and an old system, or a primary system and a backup system.
Parallel testing can help verify the accuracy, consistency, and compatibility of the systems. However, parallel testing is not a continuous process, but rather a temporary or transitional process that can be performed as part of the system implementation or migration.
Validating performance of help desk metrics is not the best process for continuous auditing for a large financial institution. Help desk metrics are indicators that measure the efficiency, effectiveness, and quality of the help desk service, which is a service that provides technical support and assistance to the users of information systems and technology. Help desk metrics can include metrics such as response time, resolution time, customer satisfaction, and service level agreement (SLA) compliance. Validating performance of help desk metrics can help evaluate and improve the help desk service. However, validating performance of help desk metrics is not a continuous auditing process, but rather a continuous monitoring process that can be performed by the help desk management or quality assurance team.
References:
* All eyes on: Continuous auditing - KPMG Global 1
* Internal audit's role at financial institutions: PwC 2
* The Fed - Supervisory Policy and Guidance Topics - Large Banking ... 3
* Continuous Audit: Definition, Steps, Advantages and Disadvantages 4
CISA-KR 문제 499
IS 감사자가 감사 후속 활동을 시작하기 전에 다음 중 어떤 것이 준비되어야 합니까?
정답: B
This must be in place before an IS auditor initiates audit follow-up activities, because it indicates that management has acknowledged and accepted the audit findings and recommendations, and has agreed to take corrective actions within a specified timeframe. Audit follow-up activities are the processes and procedures that the IS auditor performs to verify that management has implemented the agreed-upon actions effectively and in a timely manner, and that the audit findings have been resolved or mitigated.
The other options are not required to be in place before an IS auditor initiates audit follow-up activities:
* Available resources for the activities included in the action plan. This is a factor that may affect the feasibility and success of the action plan, but it is not a prerequisite for the audit follow-up activities.
The IS auditor should assess the availability and adequacy of the resources for the action plan during the audit planning and execution phases, and provide recommendations accordingly. However, the IS auditor does not need to wait for the resources to be available before initiating the audit follow-up activities.
* A heat map with the gaps and recommendations displayed in terms of risk. This is a tool that may help the IS auditor prioritize and communicate the gaps and recommendations, but it is not a requirement for the audit follow-up activities. A heat map is a graphical representation of data that uses colors to indicate the level of risk or impact of each gap or recommendation. The IS auditor may use a heat map to support the audit report or presentation, but it does not replace the need for a management response with a committed implementation date.
* Supporting evidence for the gaps and recommendations mentioned in the audit report. This is a component that should be included in the audit report, but it is not a condition for the audit follow-up activities. Supporting evidence is the information or data that supports or substantiates the audit findings and recommendations. The IS auditor should collect and document sufficient, reliable, relevant, and useful evidence during the audit execution phase, and present it in the audit report.
However, the IS auditor does not need to have supporting evidence in place before initiating the audit follow-up activities.
The other options are not required to be in place before an IS auditor initiates audit follow-up activities:
* Available resources for the activities included in the action plan. This is a factor that may affect the feasibility and success of the action plan, but it is not a prerequisite for the audit follow-up activities.
The IS auditor should assess the availability and adequacy of the resources for the action plan during the audit planning and execution phases, and provide recommendations accordingly. However, the IS auditor does not need to wait for the resources to be available before initiating the audit follow-up activities.
* A heat map with the gaps and recommendations displayed in terms of risk. This is a tool that may help the IS auditor prioritize and communicate the gaps and recommendations, but it is not a requirement for the audit follow-up activities. A heat map is a graphical representation of data that uses colors to indicate the level of risk or impact of each gap or recommendation. The IS auditor may use a heat map to support the audit report or presentation, but it does not replace the need for a management response with a committed implementation date.
* Supporting evidence for the gaps and recommendations mentioned in the audit report. This is a component that should be included in the audit report, but it is not a condition for the audit follow-up activities. Supporting evidence is the information or data that supports or substantiates the audit findings and recommendations. The IS auditor should collect and document sufficient, reliable, relevant, and useful evidence during the audit execution phase, and present it in the audit report.
However, the IS auditor does not need to have supporting evidence in place before initiating the audit follow-up activities.
CISA-KR 문제 500
재해 복구 계획(DRP)과 관련된 다음 책임 중 어떤 것을 재해 복구 서비스(DRaaS) 제공업체에 아웃소싱할 수 있습니까?
정답: A
A Disaster Recovery as a Service (DRaaS) provider is responsible for system recovery procedures, including restoring systems and services in a disaster scenario. This is the core functionality of DRaaS.
* Stakeholder Communications (Option B):This is typically managed internally by the organization to ensure alignment with its crisis management plan.
* Validation of Recovered Data (Option C):The organization must verify data integrity to meet business requirements.
* Maintaining Currency of Data (Option D):While DRaaS may handle data backups, the organization retains responsibility for ensuring the relevance of the data being backed up.
Reference:ISACA CISA Review Manual, Job Practice Area 4: Protection of Information Assets.
* Stakeholder Communications (Option B):This is typically managed internally by the organization to ensure alignment with its crisis management plan.
* Validation of Recovered Data (Option C):The organization must verify data integrity to meet business requirements.
* Maintaining Currency of Data (Option D):While DRaaS may handle data backups, the organization retains responsibility for ensuring the relevance of the data being backed up.
Reference:ISACA CISA Review Manual, Job Practice Area 4: Protection of Information Assets.
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