Isaca CISA Certified Information Systems Auditor Exam Dumps and Practice Test Questions Set 14 Q196-210
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Question 196
Which control is most effective for ensuring that email communications are protected against phishing attacks?
A) Implementing email filtering, user training, anti-phishing tools, and monitoring for suspicious activity
B) Monitoring network bandwidth usage
C) Performing endpoint antivirus scans
D) Conducting annual security awareness training
Answer: A
Explanation:
Implementing email filtering, user training, anti-phishing tools, and monitoring for suspicious activity is the most effective control for ensuring that email communications are protected against phishing attacks. Phishing attacks attempt to deceive users into revealing credentials, installing malware, or performing unauthorized transactions, making email a high-risk vector. Email filtering provides preventive protection by scanning incoming and outgoing messages for malicious content, suspicious attachments, and known phishing indicators, blocking threats before they reach end users. User training enhances awareness, teaching employees how to identify phishing attempts, avoid unsafe links, and report suspicious emails. Anti-phishing tools, such as browser extensions or advanced threat detection systems, detect and warn users of potentially harmful emails, providing real-time protection. Monitoring for suspicious activity detects anomalies, such as unusual login patterns, multiple failed login attempts, or abnormal email forwarding, enabling rapid response to potential incidents. This integrated approach provides preventive assurance by blocking threats and educating users, and detective assurance by monitoring for suspicious behavior and alerting security teams. Auditors can review email filtering configurations, training programs, anti-phishing tool deployment, and monitoring reports to verify that email security controls are implemented and effective in alignment with organizational policies and regulatory requirements such as ISO 27001, NIST, HIPAA, and GDPR. Effective email security reduces the risk of credential theft, data breaches, malware infection, operational disruption, and reputational damage. Continuous monitoring, periodic testing, simulated phishing exercises, and updates to filtering rules ensure controls remain effective as phishing tactics evolve. Integration with incident response, user account management, and IT security monitoring strengthens governance, accountability, and operational resilience. Proper documentation of filtering policies, training completion records, anti-phishing tool deployment, and monitoring logs supports audit readiness, compliance, and transparency. By implementing email filtering, user training, anti-phishing tools, and monitoring for suspicious activity, organizations ensure that phishing threats are mitigated, risks are detected, and users are prepared to respond appropriately. Preventive measures block and educate, while detective measures provide visibility and support corrective actions. Continuous evaluation maintains effectiveness, reduces operational and security risks, and ensures compliance. Organizations with robust email security protect sensitive data, maintain operational continuity, reduce exposure to threats, and demonstrate governance to auditors and regulators. Network monitoring, antivirus scanning, and awareness training support security objectives but do not fully prevent phishing attacks. Structured email security provides both preventive and detective assurance and supports regulatory compliance.
Question 197
Which audit procedure is most effective for verifying that software development adheres to secure coding standards?
A) Reviewing development guidelines, code review reports, vulnerability scans, and testing documentation
B) Monitoring network bandwidth usage
C) Performing endpoint antivirus scans
D) Conducting annual security awareness training
Answer: A
Explanation:
Reviewing development guidelines, code review reports, vulnerability scans, and testing documentation is the most effective audit procedure for verifying that software development adheres to secure coding standards. Secure coding practices reduce the risk of introducing vulnerabilities, such as buffer overflows, injection attacks, or improper authentication, into applications. Development guidelines provide the foundation by specifying secure coding principles, standards, and organizational requirements that developers must follow. Code review reports provide evidence that peer reviews or automated tools are used to examine source code for security weaknesses, logic errors, and violations of secure coding practices. Vulnerability scans detect known issues, insecure libraries, and misconfigurations in code or application components, ensuring proactive identification of weaknesses. Testing documentation, including results from static, dynamic, and penetration testing, verifies that security measures are effective, identifies gaps, and ensures the application behaves securely in expected scenarios. This integrated approach provides preventive assurance by embedding secure practices in development, and detective assurance by reviewing evidence of testing, scanning, and code validation. Auditors can examine guidelines, review reports, scan results, and testing documentation to confirm that development processes comply with internal policies, industry standards, and regulatory requirements such as ISO 27001, NIST, OWASP, PCI DSS, and HIPAA. Effective secure coding practices reduce the risk of exploitation, data breaches, financial loss, and reputational damage. Continuous monitoring, updates to guidelines, periodic audits, and follow-up on identified vulnerabilities ensure that controls remain effective as programming languages, frameworks, and threat landscapes evolve. Integration with change management, incident response, and IT security monitoring strengthens governance, accountability, and operational resilience. Proper documentation of development practices, code reviews, vulnerability scans, and testing results supports audit readiness, compliance, and transparency. By reviewing development guidelines, code review reports, vulnerability scans, and testing documentation, auditors ensure that software development aligns with secure coding standards, vulnerabilities are mitigated, and risks are managed proactively. Preventive measures enforce secure practices, while detective measures provide evidence and validation. Continuous evaluation maintains control effectiveness, reduces operational and security risks, and ensures compliance. Organizations with robust secure coding practices protect sensitive data, maintain operational continuity, reduce exposure to threats, and demonstrate governance to auditors and regulators. Network monitoring, antivirus scanning, and awareness training complement controls but cannot ensure coding security independently. Structured development review provides both preventive and detective assurance and maintains regulatory compliance.
Question 198
Which control is most effective for ensuring that mobile device management policies are enforced across all corporate devices?
A) Implementing MDM solutions, configuration enforcement, monitoring, and compliance reporting
B) Monitoring network bandwidth usage
C) Performing endpoint antivirus scans
D) Conducting annual security awareness training
Answer: A
Explanation:
Implementing MDM solutions, configuration enforcement, monitoring, and compliance reporting is the most effective control for ensuring that mobile device management policies are enforced across all corporate devices. Mobile device management (MDM) solutions provide centralized control over device configurations, security settings, applications, and access to corporate resources. Configuration enforcement ensures that devices comply with organizational security policies, such as encryption, password requirements, application restrictions, and remote wipe capabilities, reducing the risk of unauthorized access, data leakage, or compromise. Monitoring enables real-time visibility into device compliance, detecting policy violations, unusual activity, or unauthorized application installations, and supporting rapid remediation. Compliance reporting provides auditors and management with evidence that policies are enforced consistently and identifies areas requiring corrective action. This integrated approach provides preventive assurance by enforcing device security standards and detective assurance by monitoring compliance and identifying deviations. Auditors can review MDM configurations, monitoring logs, enforcement records, and compliance reports to confirm that mobile device policies are consistently applied, secure, and aligned with organizational and regulatory requirements such as ISO 27001, NIST, HIPAA, and GDPR. Effective mobile device management reduces the risk of unauthorized access, data breaches, operational disruptions, and regulatory penalties. Continuous monitoring, periodic audits, automated alerts, and policy updates ensure that controls remain effective as device types, operating systems, and business requirements evolve. Integration with endpoint security, identity management, incident response, and network access control strengthens governance, accountability, and operational resilience. Proper documentation of MDM configurations, monitoring, enforcement, and reporting supports audit readiness, compliance, and organizational transparency. By implementing MDM solutions, configuration enforcement, monitoring, and compliance reporting, organizations ensure mobile devices adhere to corporate policies, risks are mitigated, and devices are secure. Preventive measures enforce compliance proactively, while detective measures provide visibility, validation, and evidence for corrective actions. Continuous evaluation maintains effectiveness, reduces operational and security risks, and ensures compliance. Organizations with robust mobile device management protect sensitive data, maintain operational continuity, reduce exposure to threats, and demonstrate governance to auditors and regulators. Network monitoring, antivirus scanning, and awareness training support security objectives, but cannot enforce device policies independently. Structured MDM controls provide both preventive and detective assurance and support regulatory compliance.
Question 199
Which control is most effective for ensuring that privileged accounts are deactivated promptly when users change roles or leave the organization?
A) Implementing identity and access management, automated provisioning/deprovisioning, access reviews, and monitoring
B) Monitoring network bandwidth usage
C) Performing endpoint antivirus scans
D) Conducting annual security awareness training
Answer: A
Explanation:
Implementing identity and access management, automated provisioning/deprovisioning, access reviews, and monitoring is the most effective control for ensuring that privileged accounts are deactivated promptly when users change roles or leave the organization. Privileged accounts grant elevated access to critical systems and sensitive information, making timely deactivation essential to prevent unauthorized access, insider threats, or misuse. Identity and access management (IAM) solutions centralize account management, enforcing policies for role-based access and enabling automatic updates to user privileges based on role changes. Automated provisioning and deprovisioning streamline account creation, modification, and removal, ensuring that changes are applied consistently and promptly across all systems. Regular access reviews validate that current users have appropriate privileges, detect orphaned or redundant accounts, and identify deviations from policy. Monitoring provides real-time alerts and reporting on privileged account usage, assisting in early detection of unauthorized or suspicious activity. This integrated approach provides preventive assurance by controlling access and enforcing timely deactivation, and detective assurance by monitoring activity and identifying policy violations. Auditors can review IAM configurations, provisioning logs, access review records, and monitoring reports to confirm that privileged accounts are deactivated promptly and comply with organizational policies and regulatory requirements such as ISO 27001, NIST, HIPAA, SOX, and PCI DSS. Effective management of privileged accounts reduces the risk of unauthorized system access, data breaches, operational disruptions, and financial or reputational damage. Continuous monitoring, periodic audits, and automated alerts ensure that controls remain effective as personnel, roles, and system landscapes evolve. Integration with HR, security, and IT service management strengthens governance, accountability, and operational resilience. Proper documentation of IAM configurations, access changes, review findings, and monitoring logs supports audit readiness, regulatory compliance, and transparency. By implementing IAM, automated provisioning/deprovisioning, access reviews, and monitoring, organizations ensure that privileged accounts are deactivated promptly, reducing exposure to risk and enforcing accountability. Preventive measures restrict unauthorized access, while detective measures provide visibility, evidence, and support corrective actions. Continuous evaluation maintains control effectiveness, reduces operational and security risks, and ensures compliance. Organizations with robust privileged account management protect sensitive data, maintain operational continuity, mitigate insider threats, and demonstrate governance to auditors and regulators. Network monitoring, antivirus scanning, and awareness training complement controls but cannot ensure timely deactivation. Structured IAM provides both preventive and detective assurance and supports regulatory compliance.
Question 200
Which audit procedure is most effective for verifying that endpoint devices comply with security configurations?
A) Reviewing configuration baselines, automated compliance scans, deviation reports, and remediation records
B) Monitoring network bandwidth usage
C) Performing endpoint antivirus scans
D) Conducting annual security awareness training
Answer: A
Explanation:
Reviewing configuration baselines, automated compliance scans, deviation reports, and remediation records is the most effective audit procedure for verifying that endpoint devices comply with security configurations. Endpoint devices, including laptops, desktops, and mobile devices, are common targets for attacks and serve as gateways to sensitive information and organizational networks. Configuration baselines define required security settings, such as operating system patches, antivirus deployment, encryption, firewall settings, and application controls. Automated compliance scans validate that endpoints adhere to these baselines by identifying deviations or vulnerabilities in real time. Deviation reports highlight devices that are noncompliant or pose potential security risks, enabling timely attention and risk mitigation. Remediation records document corrective actions taken to address noncompliant devices, providing assurance that risks have been mitigated and that controls are enforced consistently. This integrated approach provides preventive assurance by defining and enforcing configuration standards and detective assurance by identifying and reporting deviations from these standards. Auditors can review configuration baselines, scan results, deviation reports, and remediation records to confirm that endpoint devices comply with security policies, internal standards, and regulatory requirements such as ISO 27001, NIST, HIPAA, and PCI DSS. Effective endpoint configuration management reduces the likelihood of malware infection, unauthorized access, data breaches, operational disruptions, and regulatory penalties. Continuous monitoring, automated scans, periodic audits, and remediation tracking ensure that controls remain effective as endpoints, applications, and threat landscapes evolve. Integration with patch management, identity and access management, and incident response strengthens governance, accountability, and operational resilience. Proper documentation of baselines, scan results, deviation reports, and remediation actions supports audit readiness, compliance, and organizational transparency. By reviewing configuration baselines, automated compliance scans, deviation reports, and remediation records, auditors can verify that endpoints adhere to security standards, noncompliance is detected promptly, and corrective measures are implemented. Preventive measures enforce secure configurations proactively, while detective measures provide visibility, evidence, and support corrective actions. Continuous evaluation maintains control effectiveness, reduces operational and security risks, and ensures compliance. Organizations with robust endpoint configuration management protect sensitive data, maintain operational continuity, reduce exposure to threats, and demonstrate governance to auditors and regulators. Network monitoring, antivirus scanning, and awareness training complement controls but do not independently verify compliance. Structured endpoint management provides both preventive and detective assurance and supports regulatory compliance.
Question 201
Which control is most effective for ensuring that data retention policies are implemented consistently across the organization?
A) Implementing automated retention rules, monitoring, periodic audits, and policy enforcement
B) Monitoring network bandwidth usage
C) Performing endpoint antivirus scans
D) Conducting annual security awareness training
Answer: A
Explanation:
Implementing automated retention rules, monitoring, periodic audits, and policy enforcement is the most effective control for ensuring that data retention policies are implemented consistently across the organization. Data retention policies define how long different types of data must be retained for operational, legal, and regulatory purposes and how it should be securely disposed of when no longer needed. Automated retention rules enforce policy by applying consistent retention periods to files, databases, emails, and backups, reducing human error and ensuring compliance. Monitoring tracks adherence to retention rules, detecting unauthorized retention, premature deletion, or misclassification of data. Periodic audits provide formal verification of compliance with retention policies, ensuring that procedures are effective and identifying areas for improvement. Policy enforcement ensures that employees and systems adhere to defined retention requirements, integrating retention into daily operational practices and business processes. This integrated approach provides preventive assurance by enforcing retention rules and policy adherence, and detective assurance by monitoring, auditing, and reporting compliance. Auditors can review retention rules, monitoring logs, audit findings, and policy enforcement records to verify that data is retained or deleted in alignment with organizational and regulatory requirements such as ISO 27001, GDPR, HIPAA, and SOX. Effective data retention management reduces the risk of legal penalties, regulatory noncompliance, data leaks, operational inefficiencies, and reputational damage. Continuous monitoring, automated enforcement, periodic audits, and employee training ensure that retention controls remain effective as systems, data types, and regulatory requirements evolve. Integration with information lifecycle management, backup systems, and IT security strengthens governance, accountability, and operational resilience. Proper documentation of retention rules, monitoring activities, audit findings, and enforcement actions supports audit readiness, compliance, and organizational transparency. By implementing automated retention rules, monitoring, periodic audits, and policy enforcement, organizations ensure consistent application of retention policies, mitigate compliance risks, and enforce secure data lifecycle management. Preventive measures enforce compliance proactively, while detective measures provide visibility, evidence, and support corrective actions. Continuous evaluation maintains control effectiveness, reduces operational and security risks, and ensures compliance. Organizations with robust data retention management protect sensitive information, maintain operational continuity, reduce exposure to legal and regulatory risks, and demonstrate governance to auditors and regulators. Network monitoring, antivirus scanning, and awareness training complement controls but cannot ensure consistent retention. Structured retention management provides both preventive and detective assurance and supports regulatory compliance.
Question 202
Which control is most effective for ensuring that software patches are applied in a timely and consistent manner across all systems?
A) Implementing a patch management process, automated deployment, monitoring, and verification
B) Monitoring network bandwidth usage
C) Performing endpoint antivirus scans
D) Conducting annual security awareness training
Answer: A
Explanation:
Implementing a patch management process, automated deployment, monitoring, and verification is the most effective control for ensuring that software patches are applied in a timely and consistent manner across all systems. Patching is essential to address security vulnerabilities, fix bugs, and maintain system stability. A formal patch management process defines roles, responsibilities, patch prioritization, testing requirements, deployment schedules, and documentation, ensuring systematic application of updates across all organizational systems. Automated deployment tools reduce manual errors, accelerate patch distribution, and ensure consistency in application across endpoints, servers, and network devices. Monitoring provides real-time visibility into patch status, identifying systems that are noncompliant, missing critical updates, or experiencing deployment errors, enabling corrective action. Verification procedures, such as post-deployment audits and testing, confirm that patches have been successfully applied and that systems continue to function as intended. This integrated approach provides preventive assurance by enforcing consistent patching practices and controlling vulnerabilities, and detective assurance by monitoring patch application, detecting exceptions, and providing evidence of compliance. Auditors can review patch management policies, deployment logs, monitoring reports, and verification results to confirm that patching controls are effective and aligned with organizational policies and regulatory requirements such as ISO 27001, NIST, HIPAA, and PCI DSS. Effective patch management reduces the risk of exploitation, data breaches, operational disruption, and regulatory penalties. Continuous monitoring, automated alerts, periodic audits, and process refinement ensure controls remain effective as operating systems, applications, and threat landscapes evolve. Integration with vulnerability management, change management, and IT security monitoring strengthens governance, accountability, and operational resilience. Proper documentation of patch schedules, deployment logs, monitoring activities, and verification results supports audit readiness, regulatory compliance, and transparency. By implementing a patch management process, automated deployment, monitoring, and verification, organizations ensure that patches are applied promptly, consistently, and effectively, mitigating vulnerabilities and reducing exposure to threats. Preventive measures enforce patching practices proactively, while detective measures provide visibility, validation, and support corrective actions. Continuous evaluation maintains effectiveness, reduces operational and security risks, and ensures compliance. Organizations with robust patch management protect critical systems, maintain operational continuity, mitigate security risks, and demonstrate governance to auditors and regulators. Network monitoring, antivirus scanning, and awareness training complement controls but do not ensure consistent patching. Structured patch management provides both preventive and detective assurance and supports regulatory compliance.
Question 203
Which audit procedure is most effective for verifying that database encryption is implemented correctly?
A) Reviewing encryption configurations, key management practices, access controls, and testing logs
B) Monitoring network bandwidth usage
C) Performing endpoint antivirus scans
D) Conducting annual security awareness training
Answer: A
Explanation:
Reviewing encryption configurations, key management practices, access controls, and testing logs is the most effective audit procedure for verifying that database encryption is implemented correctly. Database encryption protects sensitive data at rest and in transit, ensuring confidentiality, integrity, and compliance with regulatory requirements. Encryption configurations define the algorithms, key lengths, and modes of operation used to secure the data. Reviewing these settings ensures that strong, industry-standard encryption techniques are applied, reducing the risk of compromise. Key management practices include generation, storage, rotation, and access control procedures for encryption keys, ensuring that only authorized personnel or systems can use or manage keys. Access controls define who can read, write, or manage encrypted data, preventing unauthorized access or misuse. Testing logs provide evidence that encryption is functioning correctly, verifying that encrypted data cannot be accessed without the appropriate keys and that decryption and backup procedures work as intended. This integrated approach provides preventive assurance by enforcing proper encryption and key management, and detective assurance by monitoring, testing, and validating the effectiveness of encryption measures. Auditors can review encryption configurations, key management policies, access control settings, and testing logs to confirm that database encryption is implemented correctly and aligns with organizational policies and regulatory requirements such as ISO 27001, NIST, HIPAA, and PCI DSS. Effective encryption reduces the risk of unauthorized disclosure, data breaches, operational disruption, and regulatory penalties. Continuous monitoring, periodic audits, and key rotation ensure controls remain effective as database systems, encryption algorithms, and threat landscapes evolve. Integration with data classification, access management, and incident response strengthens governance, accountability, and operational resilience. Proper documentation of encryption configurations, key management procedures, access records, and test results supports audit readiness, regulatory compliance, and transparency. By reviewing encryption configurations, key management practices, access controls, and testing logs, auditors can verify that databases are adequately protected, risks are mitigated, and compliance obligations are met. Preventive measures secure data and control access, while detective measures provide visibility, validation, and support for corrective actions. Continuous evaluation maintains effectiveness, reduces operational and security risks, and ensures compliance. Organizations with robust database encryption protect sensitive information, maintain operational continuity, reduce exposure to threats, and demonstrate governance to auditors and regulators. Network monitoring, antivirus scanning, and awareness training complement encryption controls but cannot ensure correct implementation independently. Structured encryption controls provide both preventive and detective assurance and support regulatory compliance.
Question 204
Which control is most effective for ensuring that IT backup procedures meet recovery requirements?
A) Implementing scheduled backups, verification, offsite storage, and periodic restoration testing
B) Monitoring network bandwidth usage
C) Performing endpoint antivirus scans
D) Conducting annual security awareness training
Answer: A
Explanation:
Implementing scheduled backups, verification, offsite storage, and periodic restoration testing is the most effective control for ensuring that IT backup procedures meet recovery requirements. Backups are essential to maintain business continuity, protect critical data, and support disaster recovery. Scheduled backups ensure that data is copied at regular intervals, minimizing data loss and supporting recovery objectives. Verification procedures, including integrity checks and consistency validations, confirm that backup data is complete, accurate, and recoverable, preventing the deployment of corrupted or incomplete backups. Offsite storage protects backup data from localized incidents such as fire, flood, or theft, ensuring that copies remain available in case primary systems are compromised. Periodic restoration testing validates the backup and recovery process, ensuring that data can be restored within defined recovery time and recovery point objectives, and identifying gaps in procedures or potential operational issues. This integrated approach provides preventive assurance by maintaining regular backups, ensuring proper storage, and enforcing policies, and detective assurance by verifying the integrity of backup data and testing recovery procedures. Auditors can review backup schedules, verification logs, offsite storage arrangements, and restoration test reports to confirm that backup procedures meet organizational recovery requirements and comply with policies and regulatory standards such as ISO 27001, NIST, HIPAA, and PCI DSS. Effective backup management reduces the risk of data loss, operational disruption, financial loss, and regulatory noncompliance. Continuous monitoring, automated alerts, and periodic audits ensure that controls remain effective as systems, data volumes, and operational requirements evolve. Integration with disaster recovery planning, IT service management, and incident response strengthens governance, accountability, and operational resilience. Proper documentation of backup schedules, verification procedures, offsite storage, and test results supports audit readiness, regulatory compliance, and organizational transparency. By implementing scheduled backups, verification, offsite storage, and periodic restoration testing, organizations ensure that critical data is protected, recoverable, and aligned with business continuity objectives. Preventive measures enforce proper backup and storage practices, while detective measures validate effectiveness and support corrective actions. Continuous evaluation maintains control effectiveness, reduces operational and security risks, and ensures compliance. Organizations with robust backup management protect essential data, maintain operational continuity, reduce exposure to threats, and demonstrate governance to auditors and regulators. Network monitoring, antivirus scanning, and awareness training complement backup procedures but cannot ensure recovery capability independently. Structured backup controls provide both preventive and detective assurance and support regulatory compliance.
Question 205
Which control is most effective for ensuring that remote access to corporate systems is secure?
A) Implementing multi-factor authentication, VPNs, access monitoring, and endpoint security controls
B) Monitoring network bandwidth usage
C) Performing endpoint antivirus scans
D) Conducting annual security awareness training
Answer: A
Explanation:
Implementing multi-factor authentication, VPNs, access monitoring, and endpoint security controls is the most effective control for ensuring that remote access to corporate systems is secure. Remote access introduces additional risks, such as interception of credentials, unauthorized access, or malware infiltration, particularly when employees work from untrusted networks. Multi-factor authentication requires users to provide multiple forms of verification, reducing the likelihood of unauthorized access even if credentials are compromised. VPNs encrypt data transmitted between the user and corporate systems, protecting it from interception or eavesdropping and ensuring confidentiality and integrity. Access monitoring provides real-time visibility into remote sessions, detecting unusual patterns, unauthorized attempts, or policy violations, enabling timely response to potential threats. Endpoint security controls, such as patching, antivirus, encryption, and device compliance checks, ensure that devices connecting remotely meet security requirements and do not introduce vulnerabilities into the corporate network. This integrated approach provides preventive assurance by enforcing authentication, encryption, and secure endpoint configurations and detective assurance by monitoring activity and detecting suspicious access. Auditors can review multi-factor authentication settings, VPN configurations, monitoring logs, and endpoint compliance reports to confirm that remote access controls are implemented effectively and comply with organizational policies and regulatory requirements such as ISO 27001, NIST, HIPAA, and GDPR. Effective remote access security reduces the risk of data breaches, operational disruption, malware propagation, and regulatory penalties. Continuous monitoring, periodic audits, endpoint compliance checks, and incident response integration ensure that controls remain effective as remote access technologies, user behaviors, and threat landscapes evolve. Integration with identity and access management, IT service management, and incident response strengthens governance, accountability, and operational resilience. Proper documentation of authentication configurations, VPN policies, monitoring logs, and endpoint security measures supports audit readiness, regulatory compliance, and transparency. By implementing multi-factor authentication, VPNs, access monitoring, and endpoint security controls, organizations ensure secure remote access, mitigate risks, and maintain operational continuity. Preventive measures enforce security proactively, while detective measures provide visibility, evidence, and support for corrective action. Continuous evaluation maintains control effectiveness, reduces operational and security risks, and ensures compliance. Organizations with robust remote access controls protect sensitive data, maintain operational continuity, reduce exposure to threats, and demonstrate governance to auditors and regulators. Network monitoring, antivirus scanning, and awareness training complement remote access controls but cannot independently ensure secure connections. Structured remote access management provides both preventive and detective assurance and supports regulatory compliance.
Question 206
Which audit procedure is most effective for verifying that firewall rules are aligned with organizational security policies?
A) Reviewing firewall configurations, rule change logs, access policies, and rule audit reports
B) Monitoring network bandwidth usage
C) Performing endpoint antivirus scans
D) Conducting annual security awareness training
Answer: A
Explanation:
Reviewing firewall configurations, rule change logs, access policies, and rule audit reports is the most effective audit procedure for verifying that firewall rules are aligned with organizational security policies. Firewalls act as a critical barrier between trusted and untrusted networks, controlling traffic flow and enforcing security policies to protect systems and data. Firewall configurations define rules for traffic filtering, such as allowed protocols, source and destination IP addresses, and ports, ensuring alignment with security requirements. Rule change logs provide evidence of modifications, including approvals, dates, and responsible personnel, supporting accountability and preventing unauthorized or insecure changes. Access policies define organizational expectations regarding permitted and restricted traffic, establishing a standard for evaluating firewall effectiveness. Rule audit reports verify that configurations comply with security policies, identify redundant, obsolete, or risky rules, and highlight deviations requiring corrective action. This integrated approach provides preventive assurance by establishing secure rules and controlling access and detective assurance by reviewing rule changes, monitoring compliance, and validating adherence to policies. Auditors can examine firewall configurations, rule change logs, access policies, and audit reports to confirm that firewall rules enforce security objectives, are consistent with organizational policies, and comply with regulatory standards such as ISO 27001, NIST, PCI DSS, and HIPAA. Effective firewall management reduces the risk of unauthorized access, data breaches, network attacks, operational disruption, and regulatory penalties. Continuous monitoring, periodic audits, and review of changes ensure that controls remain effective as network architectures, applications, and threat landscapes evolve. Integration with network monitoring, intrusion detection, and incident response strengthens governance, accountability, and operational resilience. Proper documentation of firewall configurations, rule change logs, access policies, and audit reports supports audit readiness, regulatory compliance, and transparency. By reviewing firewall configurations, rule change logs, access policies, and rule audit reports, auditors can verify that firewalls are correctly configured, deviations are identified promptly, and risks are mitigated. Preventive measures establish secure rules proactively, while detective measures provide visibility, evidence, and support for corrective action. Continuous evaluation maintains control effectiveness, reduces operational and security risks, and ensures compliance. Organizations with robust firewall management protect network assets, maintain operational continuity, reduce exposure to threats, and demonstrate governance to auditors and regulators. Network monitoring, antivirus scanning, and awareness training complement firewall management but cannot independently ensure rule alignment. Structured firewall controls provide both preventive and detective assurance and support regulatory compliance.
Question 207
Which control is most effective for ensuring that data classification policies are enforced consistently across an organization?
A) Implementing automated classification tools, policy enforcement, monitoring, and periodic audits
B) Monitoring network bandwidth usage
C) Performing endpoint antivirus scans
D) Conducting annual security awareness training
Answer: A
Explanation:
Implementing automated classification tools, policy enforcement, monitoring, and periodic audits is the most effective control for ensuring that data classification policies are enforced consistently across an organization. Data classification policies categorize information based on sensitivity, regulatory requirements, and business impact, guiding handling, storage, access, and disposal. Automated classification tools identify and label data based on content, context, and metadata, ensuring consistency and reducing human error. Policy enforcement integrates classification into workflows, access controls, encryption, and data handling procedures, preventing unauthorized access or improper use. Monitoring tracks compliance with classification policies, detecting misclassified data, unauthorized access, or deviations from handling requirements. Periodic audits verify adherence to policies, validate classification accuracy, and identify areas for improvement or corrective action. This integrated approach provides preventive assurance by embedding classification into organizational processes and controlling access based on classification, and detective assurance by monitoring, auditing, and validating policy compliance. Auditors can review classification tool settings, enforcement records, monitoring logs, and audit findings to confirm consistent application of policies and compliance with regulatory standards such as ISO 27001, NIST, HIPAA, GDPR, and SOX. Effective data classification reduces the risk of unauthorized disclosure, regulatory penalties, operational errors, and reputational damage. Continuous monitoring, updates to classification rules, and periodic audits ensure that controls remain effective as data volumes, systems, and regulatory requirements evolve. Integration with access management, encryption, backup, and incident response strengthens governance, accountability, and operational resilience. Proper documentation of classification tool settings, enforcement records, monitoring activities, and audit reports supports audit readiness, regulatory compliance, and transparency. By implementing automated classification tools, policy enforcement, monitoring, and periodic audits, organizations ensure that data is handled according to sensitivity, risks are mitigated, and compliance is maintained. Preventive measures enforce classification proactively, while detective measures provide visibility, validation, and support for corrective action. Continuous evaluation maintains control effectiveness, reduces operational and security risks, and ensures compliance. Organizations with robust data classification policies protect sensitive information, maintain operational continuity, reduce exposure to threats, and demonstrate governance to auditors and regulators. Network monitoring, antivirus scanning, and awareness training complement classification controls but cannot enforce policy independently. Structured classification controls provide both preventive and detective assurance and support regulatory compliance.
Question 208
Which control is most effective for ensuring that critical system logs are protected from unauthorized access or tampering?
A) Implementing centralized logging, access restrictions, integrity monitoring, and retention policies
B) Monitoring network bandwidth usage
C) Performing endpoint antivirus scans
D) Conducting annual security awareness training
Answer: A
Explanation:
Implementing centralized logging, access restrictions, integrity monitoring, and retention policies is the most effective control for ensuring that critical system logs are protected from unauthorized access or tampering. System logs record events such as user activity, administrative actions, and system performance, and are essential for security monitoring, forensic investigations, and compliance reporting. Centralized logging consolidates logs from multiple systems into a secure repository, reducing the risk of local deletion or alteration and providing a single point for monitoring and analysis. Access restrictions ensure that only authorized personnel can view, modify, or manage log files, protecting sensitive information and preserving the integrity of evidence. Integrity monitoring detects unauthorized changes or deletions, generating alerts for suspicious activity and providing assurance that logs remain unaltered. Retention policies define how long logs are retained based on operational, legal, and regulatory requirements, ensuring availability for audits, investigations, or reporting purposes. This integrated approach provides preventive assurance by controlling access and enforcing policies and detective assurance by monitoring, auditing, and validating log integrity. Auditors can review centralized logging configurations, access permissions, integrity monitoring alerts, and retention records to confirm that critical logs are protected and aligned with organizational policies and regulatory requirements such as ISO 27001, NIST, HIPAA, PCI DSS, and SOX. Effective log management reduces the risk of unauthorized access, tampering, data breaches, and regulatory penalties while supporting forensic investigations and operational monitoring. Continuous monitoring, periodic audits, and process improvements ensure controls remain effective as systems, users, and regulatory requirements evolve. Integration with incident response, security monitoring, and compliance strengthens governance, accountability, and operational resilience. Proper documentation of logging configurations, access controls, integrity alerts, and retention schedules supports audit readiness, regulatory compliance, and transparency. By implementing centralized logging, access restrictions, integrity monitoring, and retention policies, organizations ensure critical logs are protected, risks are mitigated, and compliance obligations are met. Preventive measures secure access and retention, while detective measures provide visibility, validation, and evidence for corrective actions. Continuous evaluation maintains effectiveness, reduces operational and security risks, and ensures compliance. Organizations with robust log management protect sensitive data, maintain operational continuity, detect anomalies, and demonstrate governance to auditors and regulators. Network monitoring, antivirus scanning, and awareness training complement logging controls but cannot protect logs independently. Structured log management provides both preventive and detective assurance and supports regulatory compliance.
Question 209
Which audit procedure is most effective for verifying that user accounts are disabled promptly when employees terminate employment?
A) Reviewing HR termination records, account deactivation logs, and periodic access reviews
B) Monitoring network bandwidth usage
C) Performing endpoint antivirus scans
D) Conducting annual security awareness training
Answer: A
Explanation:
Reviewing HR termination records, account deactivation logs, and periodic access reviews is the most effective audit procedure for verifying that user accounts are disabled promptly when employees terminate employment. Timely deactivation of accounts is critical to prevent unauthorized access, reduce insider threats, and protect sensitive information. HR termination records provide authoritative evidence of employee departures and the effective dates of termination. Account deactivation logs confirm that accounts have been disabled according to organizational procedures, capturing the timing, responsible personnel, and actions taken. Periodic access reviews validate that only authorized employees maintain access and identify any accounts that have been inadvertently left active, ensuring accountability and compliance. This integrated approach provides preventive assurance by enforcing prompt deactivation procedures and detective assurance by monitoring and reviewing evidence for gaps or lapses. Auditors can examine HR records, deactivation logs, and access review reports to verify that user accounts are disabled promptly, in compliance with internal policies, and aligned with regulatory requirements such as ISO 27001, NIST, HIPAA, SOX, and PCI DSS. Effective account deactivation reduces the risk of data breaches, unauthorized access, operational disruptions, and regulatory penalties while ensuring accountability for terminated users. Continuous monitoring, automated alerts, and periodic audits ensure controls remain effective as personnel changes, systems, and access rights evolve. Integration with identity and access management, HR systems, and IT service management strengthens governance, accountability, and operational resilience. Proper documentation of HR termination records, deactivation logs, and access review results supports audit readiness, compliance, and transparency. By reviewing HR termination records, account deactivation logs, and periodic access reviews, auditors ensure that terminated employees no longer have access to corporate systems, mitigating risks and enforcing policy adherence. Preventive measures enforce timely deactivation, while detective measures provide evidence, validation, and corrective opportunities. Continuous evaluation maintains control effectiveness, reduces operational and security risks, and ensures compliance. Organizations with robust account management protect sensitive information, maintain operational continuity, mitigate insider threats, and demonstrate governance to auditors and regulators. Network monitoring, antivirus scanning, and awareness training complement controls but cannot ensure prompt account deactivation independently. Structured account management provides both preventive and detective assurance and supports regulatory compliance.
Question 210
Which control is most effective for ensuring that critical IT assets are inventoried and tracked accurately?
A) Implementing an asset management system, tagging, monitoring, and periodic reconciliation
B) Monitoring network bandwidth usage
C) Performing endpoint antivirus scans
D) Conducting annual security awareness training
Answer: A
Explanation:
Implementing an asset management system, tagging, monitoring, and periodic reconciliation is the most effective control for ensuring that critical IT assets are inventoried and tracked accurately. IT assets, including hardware, software, and virtual resources, must be accounted for to manage risks, support maintenance, and enable effective planning and security management. An asset management system provides a centralized repository for recording asset information, including ownership, configuration, location, and lifecycle status, ensuring accurate and up-to-date records. Tagging physical and virtual assets with identifiers facilitates tracking, prevents loss or misplacement, and enhances accountability for custodians and users. Monitoring ensures that changes, movements, or modifications to assets are captured in real time, supporting proactive management and early detection of discrepancies. Periodic reconciliation compares physical and virtual inventory against system records to identify gaps, missing assets, or incorrect information, ensuring accuracy and reliability of asset data. This integrated approach provides preventive assurance by tracking and controlling assets proactively, and detective assurance by identifying inconsistencies, errors, or unauthorized modifications. Auditors can review asset management system records, tagging procedures, monitoring reports, and reconciliation results to confirm that critical IT assets are inventoried and tracked consistently, in alignment with organizational policies and regulatory requirements such as ISO 27001, NIST, HIPAA, and SOX. Effective asset management reduces the risk of asset loss, unauthorized use, misconfiguration, operational disruption, and financial loss while supporting maintenance, compliance, and security initiatives. Continuous monitoring, system updates, periodic reconciliation, and process improvements ensure that controls remain effective as technology, infrastructure, and organizational needs evolve. Integration with change management, configuration management, and incident response strengthens governance, accountability, and operational resilience. Proper documentation of inventory records, tagging, monitoring, and reconciliation activities supports audit readiness, regulatory compliance, and transparency. By implementing an asset management system, tagging, monitoring, and periodic reconciliation, organizations ensure that IT assets are accurately inventoried, tracked, and controlled, reducing risk and supporting operational efficiency. Preventive measures enforce accountability, while detective measures provide visibility, validation, and corrective opportunities. Continuous evaluation maintains effectiveness, reduces operational and security risks, and ensures compliance. Organizations with robust IT asset management protect resources, maintain operational continuity, mitigate risk, and demonstrate governance to auditors and regulators. Network monitoring, antivirus scanning, and awareness training complement asset management but cannot ensure accurate tracking independently. Structured asset management provides both preventive and detective assurance and supports regulatory compliance.