Isaca CISA Certified Information Systems Auditor Exam Dumps and Practice Test Questions Set 15 Q211-225
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Question 211
Which control is most effective for ensuring that sensitive data is transmitted securely over public networks?
A) Implementing encryption protocols, secure VPNs, data classification, and transmission monitoring
B) Monitoring network bandwidth usage
C) Performing endpoint antivirus scans
D) Conducting annual security awareness training
Answer: A
Explanation:
Implementing encryption protocols, secure VPNs, data classification, and transmission monitoring is the most effective control for ensuring that sensitive data is transmitted securely over public networks. Data in transit is vulnerable to interception, unauthorized access, and manipulation, making security critical during transmission. Encryption protocols, such as TLS or IPSec, protect the confidentiality and integrity of transmitted data by converting it into unreadable ciphertext, which can only be decrypted by authorized recipients, preventing unauthorized access. Secure VPNs establish encrypted tunnels between remote users or sites and corporate systems, providing an additional layer of security and preventing interception or eavesdropping on public networks. Data classification ensures that sensitive information is appropriately labeled and handled according to its sensitivity level, enabling enforcement of encryption and secure transmission policies consistently. Transmission monitoring provides visibility into network traffic, detecting anomalies, unauthorized transmissions, or violations of security policies, allowing prompt corrective actions and forensic investigations if necessary. This integrated approach provides preventive assurance by encrypting data, enforcing secure communication channels, and controlling sensitive information, and detective assurance by monitoring traffic for potential breaches or policy violations. Auditors can review encryption configurations, VPN deployment, classification policies, and monitoring logs to verify that sensitive data is transmitted securely, aligning with organizational policies and regulatory requirements such as ISO 27001, NIST, HIPAA, PCI DSS, and GDPR. Effective transmission security reduces the risk of data breaches, loss of confidentiality, regulatory penalties, and reputational damage. Continuous monitoring, periodic audits, encryption updates, and training on secure data handling ensure that controls remain effective as technologies, data types, and threat landscapes evolve. Integration with endpoint security, identity management, and incident response strengthens governance, accountability, and operational resilience. Proper documentation of encryption protocols, VPN configurations, data classification rules, and monitoring logs supports audit readiness, compliance, and transparency. By implementing encryption protocols, secure VPNs, data classification, and transmission monitoring, organizations ensure that sensitive data is protected during transmission, risks are mitigated, and compliance obligations are met. Preventive measures secure data proactively, 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 transmission 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 transmission controls but cannot secure data independently. Structured transmission controls provide both preventive and detective assurance and support regulatory compliance.
Question 212
Which audit procedure is most effective for verifying that change management procedures are followed for IT system updates?
A) Reviewing change requests, approval records, implementation logs, and post-change testing results
B) Monitoring network bandwidth usage
C) Performing endpoint antivirus scans
D) Conducting annual security awareness training
Answer: A
Explanation:
Reviewing change requests, approval records, implementation logs, and post-change testing results is the most effective audit procedure for verifying that change management procedures are followed for IT system updates. Change management ensures that modifications to systems, applications, or configurations are controlled, reducing the risk of errors, security vulnerabilities, or operational disruption. Change requests document the rationale, scope, and impact of proposed changes, providing auditors with a clear record of what is intended and why it is required. Approval records confirm that authorized personnel reviewed and approved changes before implementation, preventing unauthorized or high-risk modifications and ensuring accountability. Implementation logs track the execution of changes, including who performed the work, timing, and any deviations from planned procedures, providing evidence of adherence to organizational policies. Post-change testing results validate that changes were implemented correctly, verify system functionality, and confirm that security, compliance, and operational requirements are maintained. This integrated approach provides preventive assurance by controlling change initiation, authorization, and execution, and detective assurance by reviewing implementation and post-change outcomes. Auditors can examine change requests, approval records, implementation logs, and testing results to confirm that updates comply with change management policies, internal controls, and regulatory requirements such as ISO 27001, NIST, SOX, HIPAA, and PCI DSS. Effective change management reduces the risk of system outages, unauthorized access, misconfigurations, and regulatory noncompliance. Continuous monitoring, periodic audits, automated tracking, and process improvements ensure controls remain effective as systems, personnel, and business needs evolve. Integration with configuration management, IT service management, and incident response strengthens governance, accountability, and operational resilience. Proper documentation of change requests, approvals, implementation, and testing results supports audit readiness, regulatory compliance, and organizational transparency. By reviewing change requests, approval records, implementation logs, and post-change testing results, auditors can verify that IT system updates are performed in accordance with organizational policies, mitigating risk and ensuring reliability. Preventive measures control changes proactively, 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 change management controls maintain system integrity, operational continuity, mitigate risks, and demonstrate governance to auditors and regulators. Network monitoring, antivirus scanning, and awareness training complement change management but cannot ensure proper adherence independently. Structured change management provides both preventive and detective assurance and supports regulatory compliance.
Question 213
Which control is most effective for ensuring that wireless networks are secured against unauthorized access?
A) Implementing strong encryption, authentication protocols, network segmentation, and monitoring
B) Monitoring network bandwidth usage
C) Performing endpoint antivirus scans
D) Conducting annual security awareness training
Answer: A
Explanation:
Implementing strong encryption, authentication protocols, network segmentation, and monitoring is the most effective control for ensuring that wireless networks are secured against unauthorized access. Wireless networks transmit data over the air, making them more susceptible to interception, unauthorized access, and attacks such as rogue access points, man-in-the-middle attacks, or eavesdropping. Strong encryption, such as WPA3, protects the confidentiality and integrity of transmitted data by making it unreadable to unauthorized parties. Authentication protocols, including robust password policies, certificates, and multi-factor authentication, ensure that only authorized users or devices can connect to the network, preventing unauthorized access. Network segmentation separates sensitive resources from general traffic, reducing exposure in case of compromise and limiting lateral movement by attackers. Monitoring wireless networks provides visibility into access points, connected devices, unusual traffic patterns, and potential intrusions, enabling rapid detection and response to threats. This integrated approach provides preventive assurance by enforcing encryption, authentication, and segmentation, and detective assurance by monitoring network activity for suspicious behavior or policy violations. Auditors can review wireless encryption configurations, authentication mechanisms, segmentation policies, and monitoring logs to confirm that wireless networks are secured, aligned with organizational policies, and compliant with regulatory requirements such as ISO 27001, NIST, HIPAA, and PCI DSS. Effective wireless security reduces the risk of unauthorized access, data breaches, malware propagation, operational disruption, and regulatory penalties. Continuous monitoring, periodic audits, configuration updates, and policy enforcement ensure that controls remain effective as devices, network architecture, and threats evolve. Integration with endpoint security, intrusion detection, and incident response strengthens governance, accountability, and operational resilience. Proper documentation of encryption, authentication, segmentation, and monitoring activities supports audit readiness, compliance, and transparency. By implementing strong encryption, authentication protocols, network segmentation, and monitoring, organizations ensure that wireless networks are secure, risks are mitigated, and compliance is maintained. Preventive measures protect networks 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 wireless network 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 complement wireless security but cannot independently prevent unauthorized access. Structured wireless controls provide both preventive and detective assurance and support regulatory compliance.
Question 214
Which control is most effective for ensuring that critical system configurations are maintained securely?
A) Implementing configuration baselines, automated compliance checks, monitoring, and periodic audits
B) Monitoring network bandwidth usage
C) Performing endpoint antivirus scans
D) Conducting annual security awareness training
Answer: A
Explanation:
Implementing configuration baselines, automated compliance checks, monitoring, and periodic audits is the most effective control for ensuring that critical system configurations are maintained securely. Configuration baselines establish approved settings for operating systems, applications, network devices, and security controls, providing a reference for secure and consistent system operation. Automated compliance checks continuously compare current configurations against established baselines, identifying deviations, misconfigurations, or unauthorized changes that could compromise security or operational integrity. Monitoring provides real-time visibility into configuration changes, enabling prompt detection of deviations, alerts for suspicious modifications, and rapid corrective action. Periodic audits validate the effectiveness of configuration management controls, ensuring that systems remain aligned with organizational policies, security standards, and regulatory requirements such as ISO 27001, NIST, HIPAA, and PCI DSS. This integrated approach provides preventive assurance by enforcing approved configurations and controlling changes proactively, and detective assurance by monitoring deviations and verifying compliance through audits. Auditors can examine configuration baselines, compliance check logs, monitoring records, and audit findings to confirm that critical system configurations are maintained securely and consistently. Effective configuration management reduces the risk of security vulnerabilities, operational disruptions, unauthorized access, and regulatory noncompliance while enhancing system reliability and stability. Continuous monitoring, automated tools, periodic audits, and configuration updates ensure controls remain effective as systems, applications, and threat landscapes evolve. Integration with change management, asset management, and incident response strengthens governance, accountability, and operational resilience. Proper documentation of baselines, compliance checks, monitoring logs, and audit results supports audit readiness, transparency, and regulatory compliance. By implementing configuration baselines, automated compliance checks, monitoring, and periodic audits, organizations ensure secure configuration management, risk mitigation, and operational consistency. Preventive measures enforce secure configurations proactively, while detective measures provide visibility, validation, and support for corrective actions. Continuous evaluation maintains control effectiveness, reduces operational and security risks, and ensures compliance. Organizations with robust configuration management protect critical systems, maintain operational continuity, reduce exposure to threats, and demonstrate governance to auditors and regulators. Network monitoring, antivirus scanning, and awareness training complement configuration management but cannot ensure secure configurations independently. Structured configuration management provides both preventive and detective assurance and supports regulatory compliance.
Question 215
Which audit procedure is most effective for verifying that access to critical applications is controlled according to policy?
A) Reviewing user access requests, approval records, access 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 user access requests, approval records, access logs, and periodic access reviews is the most effective audit procedure for verifying that access to critical applications is controlled according to policy. Controlling access ensures that only authorized users can interact with sensitive applications, protecting data confidentiality, integrity, and availability. User access requests document the rationale, level of access required, and requestor details, providing a formal record for authorization purposes. Approval records confirm that requests were evaluated and authorized by appropriate personnel, preventing unauthorized access and ensuring accountability. Access logs capture all user activities within the application, enabling auditors to verify that actions align with assigned privileges and to detect unusual or unauthorized activities. Periodic access reviews provide formal validation of user permissions, identifying orphaned accounts, inappropriate access levels, or policy violations, ensuring ongoing compliance with organizational and regulatory standards such as ISO 27001, NIST, HIPAA, PCI DSS, and SOX. This integrated approach provides preventive assurance by controlling access proactively and detective assurance by reviewing logs and conducting access audits. Auditors can examine user access requests, approval records, access logs, and periodic review documentation to confirm that access controls are enforced consistently and effectively. Effective application access management reduces the risk of data breaches, unauthorized transactions, fraud, operational disruptions, and regulatory penalties while enhancing accountability and control. Continuous monitoring, automated access control enforcement, periodic reviews, and process improvements ensure that controls remain effective as user roles, application usage, and regulatory requirements evolve. Integration with identity management, change management, and incident response strengthens governance, accountability, and operational resilience. Proper documentation of access requests, approvals, logs, and review outcomes supports audit readiness, transparency, and compliance reporting. By reviewing user access requests, approval records, access logs, and periodic access reviews, auditors verify that application access aligns with policy, risks are mitigated, and compliance obligations are maintained. Preventive measures enforce access controls proactively, while detective measures provide visibility, validation, and corrective opportunities. Continuous evaluation maintains control effectiveness, reduces operational and security risks, and ensures compliance. Organizations with robust access controls protect critical applications, maintain operational continuity, mitigate unauthorized use, and demonstrate governance to auditors and regulators. Network monitoring, antivirus scanning, and awareness training complement access controls but cannot independently ensure compliance. Structured access management provides both preventive and detective assurance and supports regulatory compliance.
Question 216
Which control is most effective for ensuring that backup data is protected from unauthorized access and corruption?
A) Implementing encryption, access controls, offsite storage, and integrity verification
B) Monitoring network bandwidth usage
C) Performing endpoint antivirus scans
D) Conducting annual security awareness training
Answer: A
Explanation:
Implementing encryption, access controls, offsite storage, and integrity verification is the most effective control for ensuring that backup data is protected from unauthorized access and corruption. Backup data is critical for business continuity, disaster recovery, and compliance, making its security and integrity paramount. Encryption protects backup data by converting it into unreadable ciphertext, ensuring that even if storage media is compromised, data cannot be accessed without proper decryption keys. Access controls limit who can read, write, or manage backup data, preventing unauthorized personnel from accessing or modifying critical information. Offsite storage safeguards backups from local incidents such as fire, flood, theft, or equipment failure, ensuring that copies are available for recovery even if primary sites are compromised. Integrity verification procedures, including checksums, hash comparisons, and periodic testing, ensure that backup data has not been altered or corrupted and that it can be restored successfully when needed. This integrated approach provides preventive assurance by controlling access and encrypting data and detective assurance by validating integrity and monitoring for unauthorized changes. Auditors can review encryption policies, access control settings, offsite storage procedures, and verification logs to confirm that backup data is protected, aligned with organizational policies, and compliant with regulatory requirements such as ISO 27001, NIST, HIPAA, and PCI DSS. Effective backup data protection reduces the risk of unauthorized disclosure, operational disruption, financial loss, and regulatory penalties while ensuring that recovery objectives are met. Continuous monitoring, automated encryption enforcement, periodic integrity checks, and testing ensure that controls remain effective as data volumes, storage methods, and threat landscapes evolve. Integration with disaster recovery planning, IT service management, and incident response strengthens governance, accountability, and operational resilience. Proper documentation of encryption, access controls, offsite storage, and verification activities supports audit readiness, compliance, and organizational transparency. By implementing encryption, access controls, offsite storage, and integrity verification, organizations ensure backup data security, mitigate risks, and maintain compliance. Preventive measures protect backups proactively, while detective measures provide visibility, validation, and corrective actions. Continuous evaluation maintains effectiveness, reduces operational and security risks, and ensures compliance. Organizations with robust backup protection maintain operational continuity, reduce exposure to threats, and demonstrate governance to auditors and regulators. Network monitoring, antivirus scanning, and awareness training complement backup protection but cannot independently secure backup data. Structured backup controls provide both preventive and detective assurance and support regulatory compliance.
Question 217
Which control is most effective for ensuring that IT incidents are detected, reported, and resolved promptly?
A) Implementing an incident response plan, automated alerts, escalation procedures, and post-incident reviews
B) Monitoring network bandwidth usage
C) Performing endpoint antivirus scans
D) Conducting annual security awareness training
Answer: A
Explanation:
Implementing an incident response plan, automated alerts, escalation procedures, and post-incident reviews is the most effective control for ensuring that IT incidents are detected, reported, and resolved promptly. An incident response plan defines roles, responsibilities, processes, and procedures for handling IT incidents, ensuring a structured and coordinated approach to minimize impact. Automated alerts from monitoring systems notify IT personnel immediately when suspicious activity or policy violations occur, allowing rapid detection and response to potential threats. Escalation procedures ensure that critical incidents are communicated to appropriate management levels and that resources are allocated to resolve issues efficiently, reducing downtime and limiting operational disruption. Post-incident reviews analyze the root cause, effectiveness of response, and lessons learned, supporting process improvements, policy adjustments, and risk mitigation. This integrated approach provides preventive assurance by establishing proactive detection and response processes and detective assurance by monitoring incidents, verifying response effectiveness, and supporting continuous improvement. Auditors can review incident response plans, alert logs, escalation records, and post-incident reports to confirm that incidents are detected and managed according to organizational policies and regulatory requirements such as ISO 27001, NIST, HIPAA, and PCI DSS. Effective incident management reduces the risk of operational disruptions, data breaches, financial loss, regulatory penalties, and reputational damage. Continuous monitoring, automated alerts, periodic testing of incident procedures, and post-incident analysis ensure that controls remain effective as IT systems, threats, and organizational processes evolve. Integration with change management, backup and recovery, and disaster recovery planning strengthens governance, accountability, and operational resilience. Proper documentation of incident response activities, alerts, escalation records, and post-incident findings supports audit readiness, regulatory compliance, and transparency. By implementing an incident response plan, automated alerts, escalation procedures, and post-incident reviews, organizations ensure prompt detection, reporting, and resolution of IT incidents, mitigating risks and enhancing operational stability. Preventive measures detect and respond proactively, while detective measures validate actions and support corrective improvements. Continuous evaluation maintains control effectiveness, reduces operational and security risks, and ensures compliance. Organizations with robust incident response capabilities protect critical systems, maintain operational continuity, mitigate risks, and demonstrate governance to auditors and regulators. Network monitoring, antivirus scanning, and awareness training complement incident response but cannot independently ensure prompt incident management. Structured incident management provides both preventive and detective assurance and supports regulatory compliance.
Question 218
Which audit procedure is most effective for verifying that data loss prevention controls are functioning as intended?
A) Reviewing DLP policies, system configurations, monitoring logs, and incident reports
B) Monitoring network bandwidth usage
C) Performing endpoint antivirus scans
D) Conducting annual security awareness training
Answer: A
Explanation:
Reviewing DLP policies, system configurations, monitoring logs, and incident reports is the most effective audit procedure for verifying that data loss prevention (DLP) controls are functioning as intended. DLP controls prevent the unauthorized disclosure, leakage, or exfiltration of sensitive information, protecting confidentiality, compliance, and organizational reputation. DLP policies define what data is considered sensitive, how it should be handled, and the rules for monitoring, blocking, or encrypting data transmissions. Reviewing these policies ensures they are comprehensive, aligned with regulatory requirements, and effectively enforce organizational objectives. System configurations enforce the technical implementation of DLP rules, including content inspection, encryption, endpoint restrictions, and network monitoring, ensuring that controls operate as intended. Monitoring logs provides evidence of DLP activities, such as blocked attempts, policy violations, or unusual data access patterns, allowing auditors to verify effectiveness and detect gaps. Incident reports document DLP events, responses, and corrective actions, providing insight into how controls perform under operational conditions. This integrated approach provides preventive assurance by defining and enforcing DLP policies and technical controls, and detective assurance by monitoring, logging, and reporting incidents. Auditors can review policies, configuration settings, monitoring logs, and incident reports to verify that DLP controls are functional, effective, and consistent with organizational policies and regulatory requirements such as ISO 27001, NIST, HIPAA, GDPR, and PCI DSS. Effective DLP reduces the risk of sensitive data leakage, regulatory noncompliance, financial loss, and reputational damage. Continuous monitoring, system updates, incident analysis, and periodic policy reviews ensure that DLP controls remain effective as data volumes, applications, and threats evolve. Integration with access management, encryption, and user awareness programs strengthens governance, accountability, and operational resilience. Proper documentation of DLP policies, configurations, monitoring, and incident response supports audit readiness, compliance, and transparency. By reviewing DLP policies, system configurations, monitoring logs, and incident reports, auditors ensure that sensitive information is protected, risks are mitigated, and compliance obligations are maintained. Preventive measures enforce protection proactively, 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 DLP controls protect sensitive data, maintain operational continuity, mitigate exposure, and demonstrate governance to auditors and regulators. Network monitoring, antivirus scanning, and awareness training complement DLP but cannot ensure control effectiveness independently. Structured DLP provides both preventive and detective assurance and supports regulatory compliance.
Question 219
Which control is most effective for ensuring that IT systems are resilient to ransomware attacks?
A) Implementing regular backups, patch management, endpoint protection, and user training
B) Monitoring network bandwidth usage
C) Performing annual security awareness training only
D) Conducting endpoint antivirus scans without additional measures
Answer: A
Explanation:
Implementing regular backups, patch management, endpoint protection, and user training is the most effective control for ensuring that IT systems are resilient to ransomware attacks. Ransomware encrypts critical data and systems, disrupting operations and often demanding ransom payments for recovery. Regular backups allow organizations to restore encrypted or lost data to a known good state, minimizing downtime and preventing data loss. Backups should be tested periodically, stored offsite, and isolated from production systems to prevent ransomware from affecting backup copies. Patch management ensures that operating systems, applications, and software vulnerabilities are addressed promptly, reducing the attack surface available to ransomware and preventing exploitation of known weaknesses. Endpoint protection, including antivirus, anti-malware, and behavior-based detection tools, actively monitors and blocks ransomware activity on devices, preventing initial infection or lateral spread. User training educates employees about phishing, suspicious links, and ransomware delivery mechanisms, addressing the human factor, which is often the primary attack vector. This integrated approach provides preventive assurance by reducing the likelihood of infection through patched systems, protected endpoints, and informed users, and detective assurance by monitoring for early signs of ransomware and responding promptly. Auditors can review backup schedules and verification logs, patch management records, endpoint protection configurations, and training completion records to confirm that controls are implemented effectively and aligned with organizational policies and regulatory requirements such as ISO 27001, NIST, HIPAA, and PCI DSS. Effective ransomware resilience reduces the risk of operational disruption, data loss, financial impact, and reputational damage. Continuous monitoring, periodic testing of backups, updating endpoints, and user awareness reinforcement ensure that controls remain effective as ransomware tactics, software, and organizational infrastructure evolve. Integration with incident response, disaster recovery, and business continuity planning strengthens governance, accountability, and operational resilience. Proper documentation of backups, patches, endpoint configurations, and training supports audit readiness, compliance, and transparency. By implementing regular backups, patch management, endpoint protection, and user training, organizations ensure resilience to ransomware, mitigate risk, and maintain operational continuity. Preventive measures block attacks proactively, while detective measures provide visibility, evidence, and support for corrective actions. Continuous evaluation maintains control effectiveness, reduces operational and security risks, and ensures compliance. Organizations with robust ransomware resilience protect critical systems, maintain continuity, mitigate operational impact, and demonstrate governance to auditors and regulators. Network monitoring, antivirus scanning alone, or training alone complement resilience measures but cannot ensure protection independently. Structured ransomware controls provide both preventive and detective assurance and support regulatory compliance.
Question 220
Which control is most effective for ensuring that third-party vendors comply with organizational information security requirements?
A) Implementing vendor risk assessments, contractual agreements, monitoring, and periodic audits
B) Monitoring network bandwidth usage
C) Performing endpoint antivirus scans
D) Conducting annual security awareness training
Answer: A
Explanation:
Implementing vendor risk assessments, contractual agreements, monitoring, and periodic audits is the most effective control for ensuring that third-party vendors comply with organizational information security requirements. Third-party vendors often have access to sensitive systems, data, or networks, which introduces risks such as unauthorized access, data breaches, or operational disruptions. Vendor risk assessments identify potential risks before engagement, evaluating the vendor’s security posture, controls, regulatory compliance, and historical performance. Contractual agreements enforce security obligations, including compliance with organizational policies, data protection, incident reporting, and confidentiality requirements, ensuring legal accountability for vendors. Monitoring vendor activities, such as system access, performance, and adherence to policies, provides ongoing oversight and ensures that vendors maintain security standards throughout the relationship. Periodic audits of vendors, including reviewing controls, processes, and compliance documentation, validate that contractual obligations are met and that risks are mitigated effectively. This integrated approach provides preventive assurance by establishing security expectations and enforcing compliance through contracts and monitoring and detective assurance by auditing vendor performance and identifying gaps or deviations. Auditors can review risk assessment reports, contractual terms, monitoring records, and audit findings to confirm that third-party vendors comply with organizational policies and regulatory requirements such as ISO 27001, NIST, HIPAA, PCI DSS, and GDPR. Effective vendor management reduces the risk of data breaches, operational disruptions, regulatory penalties, and reputational damage while maintaining business continuity. Continuous monitoring, periodic reassessment of vendor controls, and auditing ensure that controls remain effective as vendors, technologies, and business needs evolve. Integration with access management, incident response, and contract management strengthens governance, accountability, and operational resilience. Proper documentation of risk assessments, contractual agreements, monitoring activities, and audit reports supports audit readiness, compliance, and transparency. By implementing vendor risk assessments, contractual agreements, monitoring, and periodic audits, organizations ensure that vendors comply with security requirements, mitigating risks and supporting regulatory compliance. Preventive measures enforce compliance proactively, while detective measures provide visibility, validation, and corrective actions. Continuous evaluation maintains control effectiveness, reduces operational and security risks, and ensures compliance. Organizations with robust third-party 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 vendor controls but cannot independently ensure compliance. Structured third-party controls provide both preventive and detective assurance and support regulatory compliance.
Question 221
Which audit procedure is most effective for verifying that privileged accounts are managed securely?
A) Reviewing privileged account inventories, usage logs, approval records, and periodic access reviews
B) Monitoring network bandwidth usage
C) Performing endpoint antivirus scans
D) Conducting annual security awareness training
Answer: A
Explanation:
Reviewing privileged account inventories, usage logs, approval records, and periodic access reviews is the most effective audit procedure for verifying that privileged accounts are managed securely. Privileged accounts have elevated permissions and access to critical systems, configurations, and sensitive data, making them high-risk targets for misuse, unauthorized access, or insider threats. Maintaining an inventory of privileged accounts ensures all accounts are identified, categorized, and documented, supporting accountability and control. Usage logs record actions performed using privileged accounts, enabling auditors to verify that activities are appropriate, consistent with policies, and free from suspicious behavior. Approval records confirm that creation, modification, and deletion of privileged accounts follow organizational procedures and are authorized by responsible personnel, preventing unauthorized access and ensuring accountability. Periodic access reviews validate that privileged accounts remain necessary, appropriately assigned, and properly controlled, identifying orphaned or inappropriate accounts and mitigating risks associated with overprivileged access. This integrated approach provides preventive assurance by controlling the creation, assignment, and use of privileged accounts and detective assurance by monitoring logs and conducting reviews to detect violations or anomalies. Auditors can examine privileged account inventories, usage logs, approval records, and access review reports to confirm that controls align with organizational policies and regulatory requirements such as ISO 27001, NIST, HIPAA, PCI DSS, and SOX. Effective privileged account management reduces the risk of unauthorized access, data breaches, operational disruptions, and regulatory penalties while enhancing accountability and operational integrity. Continuous monitoring, automated alerts, periodic audits, and periodic access reviews ensure controls remain effective as personnel, systems, and organizational needs evolve. Integration with identity and access management, change management, and incident response strengthens governance, accountability, and operational resilience. Proper documentation of inventories, logs, approvals, and review outcomes supports audit readiness, compliance, and transparency. By reviewing privileged account inventories, usage logs, approval records, and periodic access reviews, auditors ensure that elevated access is controlled securely, risks are mitigated, and compliance is maintained. Preventive measures enforce security proactively, while detective measures provide visibility, validation, and corrective opportunities. Continuous evaluation maintains control effectiveness, reduces operational and security risks, and ensures compliance. Organizations with robust privileged account management protect critical systems, maintain operational continuity, mitigate insider threats, and demonstrate governance to auditors and regulators. Network monitoring, antivirus scanning, and awareness training complement privileged account management but cannot independently secure access. Structured privileged account controls provide both preventive and detective assurance and support regulatory compliance.
Question 222
Which control is most effective for ensuring that endpoint devices are protected against malware and unauthorized access?
A) Implementing endpoint protection software, patch management, encryption, and device monitoring
B) Monitoring network bandwidth usage
C) Conducting annual security awareness training only
D) Using antivirus software without additional measures
Answer: A
Explanation:
Implementing endpoint protection software, patch management, encryption, and device monitoring is the most effective control for ensuring that endpoint devices are protected against malware and unauthorized access. Endpoint devices such as laptops, desktops, and mobile devices are critical points of entry for malware, ransomware, and unauthorized intrusions, making comprehensive protection essential. Endpoint protection software, including antivirus, anti-malware, and behavior-based detection, actively scans, blocks, and removes threats, preventing infection and propagation. Patch management ensures that operating systems, applications, and software vulnerabilities are updated promptly, reducing the risk of exploitation by malware or attackers. Encryption protects data stored on endpoint devices, ensuring confidentiality even if the device is lost, stolen, or compromised. Device monitoring tracks configuration compliance, suspicious activity, and unauthorized access attempts, enabling rapid detection, alerting, and corrective action. This integrated approach provides preventive assurance by implementing protective controls proactively and detective assurance by monitoring, detecting, and reporting anomalies or attacks. Auditors can review endpoint protection configurations, patch management records, encryption settings, and monitoring logs to confirm that endpoint security controls are implemented effectively and comply with organizational policies and regulatory requirements such as ISO 27001, NIST, HIPAA, and PCI DSS. Effective endpoint protection reduces the risk of malware infections, data breaches, operational disruptions, financial loss, and reputational damage. Continuous monitoring, automated patching, regular software updates, and endpoint testing ensure that controls remain effective as devices, applications, and threats evolve. Integration with identity and access management, incident response, and network security strengthens governance, accountability, and operational resilience. Proper documentation of endpoint protection, patch records, encryption, and monitoring supports audit readiness, compliance, and transparency. By implementing endpoint protection software, patch management, encryption, and device monitoring, organizations ensure comprehensive endpoint security, mitigate risks, and maintain operational continuity. Preventive measures protect endpoints proactively, while detective measures provide visibility, validation, and corrective actions. Continuous evaluation maintains control effectiveness, reduces operational and security risks, and ensures compliance. Organizations with robust endpoint security protect critical systems and data, maintain continuity, mitigate malware risks, and demonstrate governance to auditors and regulators. Network monitoring, antivirus alone, or training alone complement endpoint security but cannot independently ensure protection. Structured endpoint controls provide both preventive and detective assurance and support regulatory compliance.
Question 223
Which control is most effective for ensuring that sensitive emails are protected from unauthorized access during transmission?
A) Implementing email encryption, secure email gateways, DLP policies, and monitoring
B) Monitoring network bandwidth usage
C) Performing endpoint antivirus scans
D) Conducting annual security awareness training
Answer: A
Explanation:
Implementing email encryption, secure email gateways, data loss prevention (DLP) policies, and monitoring is the most effective control for ensuring that sensitive emails are protected from unauthorized access during transmission. Email is a common vector for transmitting sensitive business information, making it vulnerable to interception, unauthorized access, and accidental disclosure. Email encryption, using technologies such as S/MIME or TLS, ensures that the content is unreadable to unauthorized parties while in transit and maintains the confidentiality and integrity of sensitive information. Secure email gateways provide additional layers of protection, such as scanning for malicious attachments, enforcing encryption policies, and preventing spam or phishing attacks that could compromise sensitive data. DLP policies define rules for handling sensitive email content, including the identification, blocking, or encryption of messages containing sensitive information, ensuring that emails comply with organizational policies and regulatory requirements. Monitoring provides visibility into email activity, detecting anomalies, policy violations, or unauthorized transmissions, enabling timely detection and response to incidents. This integrated approach provides preventive assurance by enforcing secure transmission, filtering messages, and controlling sensitive data, and detective assurance by monitoring email flows and validating policy adherence. Auditors can review encryption configurations, secure email gateway settings, DLP rules, and monitoring logs to confirm that sensitive email transmissions are protected and aligned with organizational policies and regulatory standards such as ISO 27001, NIST, HIPAA, PCI DSS, and GDPR. Effective email protection reduces the risk of data breaches, regulatory penalties, financial loss, and reputational damage. Continuous monitoring, updates to encryption protocols, DLP rule adjustments, and periodic audits ensure that controls remain effective as email volumes, content types, and threat landscapes evolve. Integration with endpoint security, identity management, and incident response strengthens governance, accountability, and operational resilience. Proper documentation of encryption configurations, gateway settings, DLP rules, and monitoring logs supports audit readiness, compliance, and transparency. By implementing email encryption, secure gateways, DLP policies, and monitoring, organizations ensure sensitive emails are protected, risks are mitigated, and compliance is maintained. Preventive measures enforce security proactively, while detective measures provide visibility, validation, and corrective opportunities. Continuous evaluation maintains control effectiveness, reduces operational and security risks, and ensures compliance. Organizations with robust email protection safeguard sensitive information, maintain operational continuity, reduce exposure to threats, and demonstrate governance to auditors and regulators. Network monitoring, antivirus scanning, and awareness training complement email security but cannot independently ensure protection. Structured email controls provide both preventive and detective assurance and support regulatory compliance.
Question 224
Which audit procedure is most effective for verifying that database access controls are operating effectively?
A) Reviewing user access permissions, authentication logs, approval records, and periodic privilege reviews
B) Monitoring network bandwidth usage
C) Performing endpoint antivirus scans
D) Conducting annual security awareness training
Answer: A
Explanation:
Reviewing user access permissions, authentication logs, approval records, and periodic privilege reviews is the most effective audit procedure for verifying that database access controls are operating effectively. Databases often contain sensitive or critical organizational data, making them a target for unauthorized access or data breaches. Reviewing user access permissions ensures that individuals have only the minimum privileges required for their roles, enforcing the principle of least privilege and reducing the risk of unauthorized access. Authentication logs capture details about login attempts, successful and failed access events, and session activity, providing evidence of compliance with access policies and allowing auditors to detect unusual or suspicious behavior. Approval records confirm that access to the database is granted following organizational procedures, ensuring that only authorized personnel can modify or view sensitive data. Periodic privilege reviews validate that user access remains appropriate over time, identifying orphaned accounts, excessive privileges, or policy violations, supporting risk mitigation and compliance. This integrated approach provides preventive assurance by controlling access proactively and detective assurance by monitoring activities and reviewing access over time. Auditors can examine access permissions, authentication logs, approval records, and privilege review reports to confirm that database access controls are consistent with organizational policies and regulatory requirements such as ISO 27001, NIST, HIPAA, PCI DSS, and SOX. Effective database access management reduces the risk of data breaches, unauthorized modifications, operational disruptions, and regulatory penalties while enhancing accountability. Continuous monitoring, periodic access reviews, automated alerts, and audit log analysis ensure that controls remain effective as users, database structures, and regulatory requirements evolve. Integration with identity management, change management, and incident response strengthens governance, accountability, and operational resilience. Proper documentation of permissions, logs, approvals, and review results supports audit readiness, transparency, and compliance reporting. By reviewing user access permissions, authentication logs, approval records, and periodic privilege reviews, auditors ensure that database access is controlled, risks are mitigated, and compliance is maintained. Preventive measures enforce access controls proactively, 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 database access controls protect critical data, maintain operational continuity, mitigate insider threats, and demonstrate governance to auditors and regulators. Network monitoring, antivirus scanning, and awareness training complement database access controls but cannot independently ensure protection. Structured database controls provide both preventive and detective assurance and support regulatory compliance.
Question 225
Which control is most effective for ensuring that software development practices minimize security vulnerabilities?
A) Implementing secure coding standards, code reviews, automated testing, and version control
B) Monitoring network bandwidth usage
C) Performing endpoint antivirus scans
D) Conducting annual security awareness training
Answer: A
Explanation:
Implementing secure coding standards, code reviews, automated testing, and version control is the most effective control for ensuring that software development practices minimize security vulnerabilities. Secure coding standards provide developers with guidelines and best practices to write code that reduces the likelihood of introducing vulnerabilities, such as injection flaws, buffer overflows, and improper input validation. Code reviews involve systematic examination of code by peers or security specialists to identify potential weaknesses, ensure adherence to coding standards, and detect logic errors or security flaws before deployment. Automated testing, including static and dynamic code analysis, penetration testing, and vulnerability scanning, evaluates code for security issues and functional correctness, providing continuous feedback to developers and reducing the risk of deploying vulnerable software. Version control systems track changes to source code, enabling rollback, accountability, and identification of code modifications that may introduce vulnerabilities, supporting both development management and audit readiness. This integrated approach provides preventive assurance by embedding security practices into the development lifecycle and detective assurance by reviewing code, monitoring changes, and testing for vulnerabilities. Auditors can review coding standards, code review documentation, automated test results, and version control logs to confirm that software development practices minimize security risks and comply with organizational policies and regulatory requirements such as ISO 27001, NIST, PCI DSS, and OWASP guidelines. Effective secure development reduces the risk of security breaches, application vulnerabilities, data exposure, and regulatory penalties while enhancing software quality. Continuous monitoring, periodic training, automated testing updates, and adherence to coding standards ensure that controls remain effective as development technologies, languages, and threat landscapes evolve. Integration with change management, configuration management, and incident response strengthens governance, accountability, and operational resilience. Proper documentation of coding standards, code reviews, test results, and version control activities supports audit readiness, compliance, and transparency. By implementing secure coding standards, code reviews, automated testing, and version control, organizations ensure that software development processes minimize vulnerabilities, mitigate risk, and maintain operational integrity. Preventive measures enforce secure practices proactively, while detective measures provide validation, visibility, and corrective opportunities. Continuous evaluation maintains control effectiveness, reduces operational and security risks, and ensures compliance. Organizations with robust, secure development practices protect applications, maintain operational continuity, mitigate risks, and demonstrate governance to auditors and regulators. Network monitoring, antivirus scanning, and awareness training complement secure development but cannot independently ensure software security. Structured development controls provide both preventive and detective assurance and support regulatory compliance.