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Which of the following would be a compensating control to
mitigate risks resulting from an inadequate segregation of
duties?
A. Sequence check
B. Check digit
C. Source documentation retention
D. Batch control reconciliations
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Answer: D
Batch control reconciliations are an example of compensating
controls. Other examples of compensating controls are
transaction logs, reasonableness tests, independent reviews
and audit trails such as console logs, library logs and job
accounting date. Sequence checks and check digits are data
validation edits and source documentation retention is an
example of a data file control.
| Is This Answer Correct ? | 13 Yes | 5 No |
Which of the following is the MOST reliable sender authentication method? A. Digital signatures B. Asymmetric cryptography C. Digital certificates D. Message authentication code
At the end of a simulation of an operational contingency test, the IS auditor performed a review of the recovery process. The IS auditor concluded that the recovery took more than the critical time frame allows. Which of the following actions should the auditor recommend? A. Widen the physical capacity to accomplish better mobility in a shorter time. B. Shorten the distance to reach the hot site. C. Perform an integral review of the recovery tasks. D. Increase the number of human resources involved in the recovery process.
What is a risk associated with attempting to control physical access to sensitive areas, such as computer rooms, through card keys, locks, etc.? A. Unauthorized individuals wait for controlled doors to open and walk in behind those authorized. B. The contingency plan for the organization cannot effectively test controlled access practices. C. Access cards, keys, and pads can be easily duplicated allowing easy compromise of the control. D. Removing access for people no longer authorized is complex.
In a risk-based audit approach, an IS auditor should FIRST complete :
Reconfiguring which of the following firewall types will prevent inward downloading of files through the file transfer protocol (FTP)? A. Circuit gateway B. Application gateway C. Packet filter D. Screening router
Creation of an electronic signature: A. encrypts the message. B. verifies where the message came from. C. cannot be compromised when using a private key. D. cannot be used with e-mail systems.
An IS auditor reviewing operating system access discovers that the system is not secured properly. In this situation, the IS auditor is LEAST likely to be concerned that the user might: A. create new users. B. delete database and log files. C. access the system utility tools. D. access the system writeable directories.
Which of the following network configuration options contains a direct link between any two host machines? A. Bus B. Ring C. Star D. Completely connected (mesh)
An IS auditor performing a review of the IS department discovers that formal project approval procedures do not exist. In the absence of these procedures the IS manager has been arbitrarily approving projects that can be completed in a short duration and referring other more complicated projects to higher levels of management for approval. The IS auditor should recommend as a FIRST course of action that: A. users participate in the review and approval process. B. formal approval procedures be adopted and documented. C. projects be referred to appropriate levels of management for approval. D. the IS manager's job description be changed to include approval authority.
A company performs full backup of data and programs on a regular basis. The primary purpose of this practice is to: A. maintain data integrity in the applications. B. restore application processing after a disruption. C. prevent unauthorized changes to programs and data. D. ensure recovery of data processing in case of a disaster.
Which of the following should be included in an organization's IS security policy? A. A list of key IT resources to be secured B. The basis for access authorization C. Identity of sensitive security features D. Relevant software security features
Which of the following IS functions may be performed by the same individual, without compromising on control or violating segregation of duties? A. Job control analyst and applications programmer B. Mainframe operator and system programmer C. Change/problem and quality control administrator D. Applications and system programmer
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