The document discusses the requirements of the Sarbanes-Oxley Act (SOX) and how the CorreLog security product can help organizations achieve compliance. SOX aims to improve financial reporting and reduce corporate fraud. It establishes controls around data access, integrity and reporting of breaches. CorreLog tracks user activity, detects anomalies, and provides auditable reports to verify controls and incidents to auditors, satisfying SOX requirements for independent monitoring and disclosure of security issues.
Sarbanes-Oxley was passed in the wake of a number of notable corporate accounting scandals including Enron and WorldCom.
And now in this training presentation, you will understand why and how this is important for us.
The document discusses the Sarbanes-Oxley Act (SOX) from an IT perspective. It provides background on how major company frauds led to the creation of SOX. It describes the key points of SOX, including the requirements of section 404 for management to assess internal controls. While SOX compliance presents challenges and costs for companies, it can also streamline processes and reduce risks. The document addresses common questions about SOX's applicability and compliance requirements and concludes that maintaining strong IT controls is important for business efficiency beyond just financial reporting.
The Sarbanes-Oxley Act of 2002 was enacted in response to several major corporate accounting scandals to increase corporate accountability and protect investors. It created the Public Company Accounting Oversight Board to oversee accounting firms and audit quality. It also mandated executive responsibility for financial reports, independent audits of public companies, real-time disclosure of insider stock trades, limits on non-audit services by auditing firms, and criminal penalties for erasing records or destroying evidence of fraudulent financial reports. The Act aimed to restore investor confidence in the integrity of financial markets through heightened transparency and accountability.
The document discusses SOX (Sarbanes-Oxley Act) compliance. It provides an overview of what SOX is, the penalties for noncompliance, and what prompted its passing. It then offers examples of controls and frameworks organizations can use to achieve compliance, emphasizing the importance of change management. It concludes by stating that SOX compliance is an ongoing effort that can help companies improve operations, consistency, and decision making.
The document discusses the Sarbanes-Oxley Act and the entities involved in ensuring integrity and transparency in financial reporting for public companies. It outlines the roles of the SEC, PCAOB, independent audit firms, audit committees, internal audit functions, and CEOs and CFOs in establishing standards and oversight of financial audits and internal controls. Key provisions of the Act require auditors and audit committees to follow new standards and rotation policies, and make CEOs and CFOs legally responsible for the accuracy of financial reports.
The Sarbanes-Oxley Act (SOX) was passed in 2002 in response to major corporate accounting scandals to improve financial disclosure and transparency for public companies. Major sections of SOX include requirements for CEOs and CFOs to certify financial reports, for companies to establish internal controls on financial reporting, and to promptly disclose material changes. While SOX increased compliance costs for companies, it also aimed to restore investor confidence by improving accuracy of financial reporting and imposing penalties for violations. However, some critics argue that SOX places unnecessary regulatory burdens on companies.
The Sarbanes-Oxley Act, Briefly ExplainedJames Kasim
James Kasim has over 20 years of experience in corporate finance working for firms like Ernst & Young and Pacific Office Properties Trust. Through this work, he gained expertise in areas including fundraising, real estate acquisitions, and complying with the Sarbanes-Oxley Act (SOX). SOX introduced reforms to improve governance, financial reporting, and audits at public companies following major scandals to help restore investor confidence and prevent future fraud. It established responsibilities for auditors, boards, and executives regarding financial reports and created the PCAOB to oversee auditors.
Sarbanes-Oxley was passed in the wake of a number of notable corporate accounting scandals including Enron and WorldCom.
And now in this training presentation, you will understand why and how this is important for us.
The document discusses the Sarbanes-Oxley Act (SOX) from an IT perspective. It provides background on how major company frauds led to the creation of SOX. It describes the key points of SOX, including the requirements of section 404 for management to assess internal controls. While SOX compliance presents challenges and costs for companies, it can also streamline processes and reduce risks. The document addresses common questions about SOX's applicability and compliance requirements and concludes that maintaining strong IT controls is important for business efficiency beyond just financial reporting.
The Sarbanes-Oxley Act of 2002 was enacted in response to several major corporate accounting scandals to increase corporate accountability and protect investors. It created the Public Company Accounting Oversight Board to oversee accounting firms and audit quality. It also mandated executive responsibility for financial reports, independent audits of public companies, real-time disclosure of insider stock trades, limits on non-audit services by auditing firms, and criminal penalties for erasing records or destroying evidence of fraudulent financial reports. The Act aimed to restore investor confidence in the integrity of financial markets through heightened transparency and accountability.
The document discusses SOX (Sarbanes-Oxley Act) compliance. It provides an overview of what SOX is, the penalties for noncompliance, and what prompted its passing. It then offers examples of controls and frameworks organizations can use to achieve compliance, emphasizing the importance of change management. It concludes by stating that SOX compliance is an ongoing effort that can help companies improve operations, consistency, and decision making.
The document discusses the Sarbanes-Oxley Act and the entities involved in ensuring integrity and transparency in financial reporting for public companies. It outlines the roles of the SEC, PCAOB, independent audit firms, audit committees, internal audit functions, and CEOs and CFOs in establishing standards and oversight of financial audits and internal controls. Key provisions of the Act require auditors and audit committees to follow new standards and rotation policies, and make CEOs and CFOs legally responsible for the accuracy of financial reports.
The Sarbanes-Oxley Act (SOX) was passed in 2002 in response to major corporate accounting scandals to improve financial disclosure and transparency for public companies. Major sections of SOX include requirements for CEOs and CFOs to certify financial reports, for companies to establish internal controls on financial reporting, and to promptly disclose material changes. While SOX increased compliance costs for companies, it also aimed to restore investor confidence by improving accuracy of financial reporting and imposing penalties for violations. However, some critics argue that SOX places unnecessary regulatory burdens on companies.
The Sarbanes-Oxley Act, Briefly ExplainedJames Kasim
James Kasim has over 20 years of experience in corporate finance working for firms like Ernst & Young and Pacific Office Properties Trust. Through this work, he gained expertise in areas including fundraising, real estate acquisitions, and complying with the Sarbanes-Oxley Act (SOX). SOX introduced reforms to improve governance, financial reporting, and audits at public companies following major scandals to help restore investor confidence and prevent future fraud. It established responsibilities for auditors, boards, and executives regarding financial reports and created the PCAOB to oversee auditors.
The Sarbanes-Oxley Act of 2002 established new standards for all U.S. public company boards, management, and accounting firms in response to major corporate and accounting scandals. It created the Public Company Accounting Oversight Board to oversee accounting firms and regulate audits of public companies. The Act also covers issues like auditor independence, corporate governance, internal controls, and financial disclosure to increase accountability and protect investors.
Network Architecture review in context of Information security helps to understand how to actually review the components of network with respect to best practices.
Information Security Governance: Concepts, Security Management & MetricsOxfordCambridge
The goal of information security governance is to establish and maintain a framework to provide assurance that information security strategies are aligned with the business objectives and consistent with applicable laws and regulations.
The document summarizes research into information security governance awareness at the board of director and executive committee levels. It finds that while many organizations have information security practices in place, such as a chief information security officer and security policies, the effectiveness and alignment with business objectives is unclear. Reporting and monitoring have room for improvement, and awareness remains a challenge. Drivers for implementing governance are typically severe security incidents and legal/regulatory compliance pressures rather than proactive alignment with business strategy.
This document discusses the need for adopting an industry standard network security architecture model to improve security without unnecessary complexity. It outlines the evolution of typical network architectures from closed to increasingly open and exposed. This has introduced new threats that cannot be addressed by isolated security solutions alone. The document advocates aligning security controls according to well-defined architectural principles and business needs, and properly managing the integrated system as a whole.
This document discusses asset management in information security. It defines information assets and systems, and emphasizes the importance of assigning ownership, developing classification guidelines, and inventorying all assets. The key aspects are classifying assets according to sensitivity, assigning appropriate labels and handling procedures, and ensuring all hardware and software assets are accounted for in an inventory. This helps protect critical information and defend against potential threats.
The document discusses Phar-Mor, a company that engaged in accounting fraud to disguise losses and maintain the appearance of success between 1985 and 1992. It provides a framework for detecting financial statement fraud using a "fraud exposure rectangle" examining management, relationships, organization/industry, and financial results. Strategic reasoning considers how fraud perpetrators may conceal fraud and how auditors can modify typical tests to detect concealed schemes.
The Information Technology Act, 2000 provides the legal framework for electronic governance in India. Some key points covered in the act include:
- Legal recognition of electronic records and digital signatures.
- Regulation of certifying authorities that issue digital signature certificates.
- Establishment of the Cyber Appellate Tribunal to hear appeals related to the act.
- Offences and penalties related to cyber crimes like hacking and publishing obscene content.
- Procedures for adjudicating violations and determining appropriate penalties.
105 Common information security threatsSsendiSamuel
The document discusses common information security threats. It begins by introducing how information systems are often vulnerable and contain sensitive data, making them targets for various attacks. It then outlines the objectives of understanding security threat categories and common means. The document proceeds to discuss specific threats like DDoS attacks, worms, vulnerabilities, phishing, and man-in-the-middle attacks. It also covers the Mirai botnet attack on Dyn DNS services and defense measures like firewalls and anti-DDoS devices. The key threats discussed are to networks, applications, and data transmission and devices.
1) The document discusses internal financial controls as defined in the Companies Act 2013, which requires companies to establish adequate internal financial controls and for auditors to evaluate their effectiveness.
2) It outlines the key components of internal financial controls - control environment, risk assessment, control activities, information and communication, and monitoring activities.
3) The roles and responsibilities of directors, auditors, and audit committees in evaluating internal financial controls and reporting on their adequacy are also summarized.
What is GRC – Governance, Risk and Compliance BOC Group
A simple guide to learn what Governance, Risk and Compliance (GRC) is all about, why it’s important and how you can use it to help drive enterprise objectives.
For more information visit: https://www.boc-group.com/governance-risk-and-compliance/
This document summarizes the Sarbanes-Oxley Act of 2002, which aimed to reform corporate governance and enhance financial disclosures. It discusses the major elements and titles of the act, including establishing the Public Company Accounting Oversight Board, increasing auditor independence, enhancing corporate responsibility and financial disclosures, and increasing penalties for white collar crimes and fraud. Key sections are also summarized, such as sections related to internal controls, off-balance sheet items, assessing internal controls, financial disclosures, criminal penalties, and CEO/CFO certification of financial reports.
The document discusses fraud symptoms and red flags that may indicate fraud. It notes that fraud can involve irregularities in source documents, faulty journal entries, or inaccuracies in ledgers. Internal control weaknesses like a lack of segregation of duties or physical safeguards are also red flags. Some common fraud schemes discussed include fraudulent financial reporting through falsifying accounting records or misstating financial statements. The document also outlines protections for whistleblowers and the importance of internal controls for fraud prevention and detection.
Chapter 1 auditing and internal controljayussuryawan
This document provides an overview of auditing concepts including:
- The differences between attestation and advisory services, and the relationship between external, internal, and fraud audits.
- Key standards and frameworks for internal control including COSO and Sarbanes-Oxley.
- The audit process including planning, testing of controls, and substantive tests using CAATTs software.
- How management assertions and audit objectives guide audit procedures and evidence collection.
The document discusses the Sarbanes-Oxley Act of 2002 (SOX), which aimed to improve corporate governance and financial transparency following several major corporate and accounting scandals. It established the Public Company Accounting Oversight Board to oversee audits of public companies. Key provisions of SOX include strengthening audit committees, requiring CEO/CFO certification of financial reports, mandating internal controls over financial reporting, and enhancing auditor independence. While SOX applies to US public companies, it does not apply to private companies or non-US companies not listed on US exchanges, though similar requirements exist in India through SEBI guidelines.
This document summarizes a presentation on SOC reporting and cybersecurity frameworks. It discusses the increasing need for cybersecurity frameworks due to rising data breaches and threats. It provides an overview of different SOC reports, including SOC 1, 2, and 3 reports, and introduces a new SOC for Cybersecurity report. This new report allows entities to demonstrate the effectiveness of controls in their cybersecurity risk management program. The presentation describes the components and structure of the SOC for Cybersecurity report, including describing the entity's cybersecurity risk management program and evaluating the effectiveness of controls. It recommends entities undertake a readiness review to identify gaps and determine next steps.
CONTROL & AUDIT INFORMATION SYSTEM (HALL, 2015)Muhammad Azmy
Materi Perkuliahan Control and Auditing Information System in Uin Suska Riau.
About Fundamental and Theory Control and Audit. Where this Slide just Theory, not spesific because it just job from teacher in the class.
This document provides guidance to financial institutions and other reporting entities on identifying beneficial owners. It outlines a three-step process for identifying beneficial owners of legal persons: 1) Identify natural persons with controlling ownership interest, 2) Identify persons exercising control through other means, and 3) Identify senior management if no one is identified in the first two steps. It also provides guidance on identifying beneficial owners of legal arrangements like trusts. Reporting entities are advised to review source documents like corporate records, partnership agreements, and trust deeds to determine the ownership structure and identify beneficial owners.
SOC 2 is an auditing process that secures your service providers to securely manage your data to safeguard your organization's interests and clients' privacy. SOC 2 compliance is a minimal prerequisite for security-conscious businesses considering a SaaS provider.
Early SOC 2 Compliance helps your Startup attract enterprise-level clients. Prior SOC 2 Report builds stakeholder confidence, reduces paperwork, and shortens sales cycles. Build a cybersecurity culture in your organization from the outset to streamline processes and smoothen up-scaling with SOC 2.
Read our Complete Guide to attaining Startup SOC 2 compliance for your Startup. Visit at https://www.agicent.com/blog/soc2-for-startups-guide
The PCI DSS Standard is a worldwide set of guidelines for securing credit card data. It consists of 12 sections dealing with network, physical, and information security. CorreLog software supports sections 10 and 11 by securely collecting and storing audit logs to prevent alteration, limiting access to authorized users, protecting logs from unauthorized access or modifications, backing up logs nightly to a centralized server, reviewing logs daily including security servers, retaining logs for at least one year, and regularly monitoring and testing security through file integrity checks, scanners, and intrusion detection system integration. Additional information on PCI DSS compliance with CorreLog is available on their website.
The Sarbanes-Oxley Act of 2002 established new standards for all U.S. public company boards, management, and accounting firms in response to major corporate and accounting scandals. It created the Public Company Accounting Oversight Board to oversee accounting firms and regulate audits of public companies. The Act also covers issues like auditor independence, corporate governance, internal controls, and financial disclosure to increase accountability and protect investors.
Network Architecture review in context of Information security helps to understand how to actually review the components of network with respect to best practices.
Information Security Governance: Concepts, Security Management & MetricsOxfordCambridge
The goal of information security governance is to establish and maintain a framework to provide assurance that information security strategies are aligned with the business objectives and consistent with applicable laws and regulations.
The document summarizes research into information security governance awareness at the board of director and executive committee levels. It finds that while many organizations have information security practices in place, such as a chief information security officer and security policies, the effectiveness and alignment with business objectives is unclear. Reporting and monitoring have room for improvement, and awareness remains a challenge. Drivers for implementing governance are typically severe security incidents and legal/regulatory compliance pressures rather than proactive alignment with business strategy.
This document discusses the need for adopting an industry standard network security architecture model to improve security without unnecessary complexity. It outlines the evolution of typical network architectures from closed to increasingly open and exposed. This has introduced new threats that cannot be addressed by isolated security solutions alone. The document advocates aligning security controls according to well-defined architectural principles and business needs, and properly managing the integrated system as a whole.
This document discusses asset management in information security. It defines information assets and systems, and emphasizes the importance of assigning ownership, developing classification guidelines, and inventorying all assets. The key aspects are classifying assets according to sensitivity, assigning appropriate labels and handling procedures, and ensuring all hardware and software assets are accounted for in an inventory. This helps protect critical information and defend against potential threats.
The document discusses Phar-Mor, a company that engaged in accounting fraud to disguise losses and maintain the appearance of success between 1985 and 1992. It provides a framework for detecting financial statement fraud using a "fraud exposure rectangle" examining management, relationships, organization/industry, and financial results. Strategic reasoning considers how fraud perpetrators may conceal fraud and how auditors can modify typical tests to detect concealed schemes.
The Information Technology Act, 2000 provides the legal framework for electronic governance in India. Some key points covered in the act include:
- Legal recognition of electronic records and digital signatures.
- Regulation of certifying authorities that issue digital signature certificates.
- Establishment of the Cyber Appellate Tribunal to hear appeals related to the act.
- Offences and penalties related to cyber crimes like hacking and publishing obscene content.
- Procedures for adjudicating violations and determining appropriate penalties.
105 Common information security threatsSsendiSamuel
The document discusses common information security threats. It begins by introducing how information systems are often vulnerable and contain sensitive data, making them targets for various attacks. It then outlines the objectives of understanding security threat categories and common means. The document proceeds to discuss specific threats like DDoS attacks, worms, vulnerabilities, phishing, and man-in-the-middle attacks. It also covers the Mirai botnet attack on Dyn DNS services and defense measures like firewalls and anti-DDoS devices. The key threats discussed are to networks, applications, and data transmission and devices.
1) The document discusses internal financial controls as defined in the Companies Act 2013, which requires companies to establish adequate internal financial controls and for auditors to evaluate their effectiveness.
2) It outlines the key components of internal financial controls - control environment, risk assessment, control activities, information and communication, and monitoring activities.
3) The roles and responsibilities of directors, auditors, and audit committees in evaluating internal financial controls and reporting on their adequacy are also summarized.
What is GRC – Governance, Risk and Compliance BOC Group
A simple guide to learn what Governance, Risk and Compliance (GRC) is all about, why it’s important and how you can use it to help drive enterprise objectives.
For more information visit: https://www.boc-group.com/governance-risk-and-compliance/
This document summarizes the Sarbanes-Oxley Act of 2002, which aimed to reform corporate governance and enhance financial disclosures. It discusses the major elements and titles of the act, including establishing the Public Company Accounting Oversight Board, increasing auditor independence, enhancing corporate responsibility and financial disclosures, and increasing penalties for white collar crimes and fraud. Key sections are also summarized, such as sections related to internal controls, off-balance sheet items, assessing internal controls, financial disclosures, criminal penalties, and CEO/CFO certification of financial reports.
The document discusses fraud symptoms and red flags that may indicate fraud. It notes that fraud can involve irregularities in source documents, faulty journal entries, or inaccuracies in ledgers. Internal control weaknesses like a lack of segregation of duties or physical safeguards are also red flags. Some common fraud schemes discussed include fraudulent financial reporting through falsifying accounting records or misstating financial statements. The document also outlines protections for whistleblowers and the importance of internal controls for fraud prevention and detection.
Chapter 1 auditing and internal controljayussuryawan
This document provides an overview of auditing concepts including:
- The differences between attestation and advisory services, and the relationship between external, internal, and fraud audits.
- Key standards and frameworks for internal control including COSO and Sarbanes-Oxley.
- The audit process including planning, testing of controls, and substantive tests using CAATTs software.
- How management assertions and audit objectives guide audit procedures and evidence collection.
The document discusses the Sarbanes-Oxley Act of 2002 (SOX), which aimed to improve corporate governance and financial transparency following several major corporate and accounting scandals. It established the Public Company Accounting Oversight Board to oversee audits of public companies. Key provisions of SOX include strengthening audit committees, requiring CEO/CFO certification of financial reports, mandating internal controls over financial reporting, and enhancing auditor independence. While SOX applies to US public companies, it does not apply to private companies or non-US companies not listed on US exchanges, though similar requirements exist in India through SEBI guidelines.
This document summarizes a presentation on SOC reporting and cybersecurity frameworks. It discusses the increasing need for cybersecurity frameworks due to rising data breaches and threats. It provides an overview of different SOC reports, including SOC 1, 2, and 3 reports, and introduces a new SOC for Cybersecurity report. This new report allows entities to demonstrate the effectiveness of controls in their cybersecurity risk management program. The presentation describes the components and structure of the SOC for Cybersecurity report, including describing the entity's cybersecurity risk management program and evaluating the effectiveness of controls. It recommends entities undertake a readiness review to identify gaps and determine next steps.
CONTROL & AUDIT INFORMATION SYSTEM (HALL, 2015)Muhammad Azmy
Materi Perkuliahan Control and Auditing Information System in Uin Suska Riau.
About Fundamental and Theory Control and Audit. Where this Slide just Theory, not spesific because it just job from teacher in the class.
This document provides guidance to financial institutions and other reporting entities on identifying beneficial owners. It outlines a three-step process for identifying beneficial owners of legal persons: 1) Identify natural persons with controlling ownership interest, 2) Identify persons exercising control through other means, and 3) Identify senior management if no one is identified in the first two steps. It also provides guidance on identifying beneficial owners of legal arrangements like trusts. Reporting entities are advised to review source documents like corporate records, partnership agreements, and trust deeds to determine the ownership structure and identify beneficial owners.
SOC 2 is an auditing process that secures your service providers to securely manage your data to safeguard your organization's interests and clients' privacy. SOC 2 compliance is a minimal prerequisite for security-conscious businesses considering a SaaS provider.
Early SOC 2 Compliance helps your Startup attract enterprise-level clients. Prior SOC 2 Report builds stakeholder confidence, reduces paperwork, and shortens sales cycles. Build a cybersecurity culture in your organization from the outset to streamline processes and smoothen up-scaling with SOC 2.
Read our Complete Guide to attaining Startup SOC 2 compliance for your Startup. Visit at https://www.agicent.com/blog/soc2-for-startups-guide
The PCI DSS Standard is a worldwide set of guidelines for securing credit card data. It consists of 12 sections dealing with network, physical, and information security. CorreLog software supports sections 10 and 11 by securely collecting and storing audit logs to prevent alteration, limiting access to authorized users, protecting logs from unauthorized access or modifications, backing up logs nightly to a centralized server, reviewing logs daily including security servers, retaining logs for at least one year, and regularly monitoring and testing security through file integrity checks, scanners, and intrusion detection system integration. Additional information on PCI DSS compliance with CorreLog is available on their website.
Network Security & Assured Networks: TechNet Augusta 2015AFCEA International
The document provides details on controls for network security assessments. It discusses the differences between certification and accreditation, and how risk tolerance must balance threats against protection costs. It also lists various access, identification and authentication, configuration management, and system integrity controls, and references how each control is assessed. The controls are evaluated to ensure the system or network is properly monitored, authenticated, updated, and protected from unauthorized access and malware.
Use Exabeam Smart Timelines to improve your SOC efficiencyJonathanPritchard12
Exabeam uses common log sources to stitch together events in plain text to easily answer the important question: What happened before, during and after?
The document outlines security controls and compliance standards for Department of Defense computing devices and systems. It details policies for limiting administrator privileges, encrypting mobile devices, maintaining physical access controls, regularly backing up data and enforcing strong password policies. It also lists several compliance laws and systems required for DoD, such as the Global Exchange, Electronic Document Access and Central Contractor Registration. Finally, it proposes a deployment plan to implement new security policies and controls in four steps: drafting, approval, execution and post-completion review.
Splunk is a software that allows banks to meet the Internet Banking and Technology Risk Management (IBTRM) Guidelines from the Monetary Authority of Singapore by providing real-time monitoring, alerts, and reports on system integrity, availability, data confidentiality, customer transactions, and security practices. It integrates data from various systems to give insights on potential risks and compliance issues. Specifically, Splunk helps monitor transactions, authentication, malware patterns, security access logs, and more to reduce risks and strengthen security, availability, and data protection according to the IBTRM guidelines.
Log Analysis Across System Boundaries for Security, Compliance, and OperationsAnton Chuvakin
This article covers the importance of utilizing a cross-platform log management approach rather than a siloed approach to aggregating and reviewing logs for easier security and compliance initiatives.
This document discusses IT controls and governance requirements under Sarbanes-Oxley (SOX). It covers key aspects of SOX Sections 302 and 404, which require management to certify financial reporting controls and assess internal control effectiveness. It also discusses general and application IT controls, including controls over physical and logical security, segregation of duties, disaster recovery, and outsourcing risks. The document provides an overview of these topics at a high level.
Log Analysis Across System Boundaries for Security, Compliance, and OperationsAnton Chuvakin
This article covers the importance of utilizing a cross-platform log management approach rather than a siloed approach to aggregating and reviewing logs for easier security and compliance initiatives.
IT SECURITY PLAN FOR FLIGHT SIMULATION PROGRAMIJCSEA Journal
Information security is one of the most important aspects of technology, we cannot protect the best interests of our organizations' assets (be that personnel, data, or other resources), without ensuring that these assetsare protected to the best of their ability. Within the Defense Department, this is vital to the security of not just those assets but also the national security of the United States. Compromise insecurity could lead severe consequences. However, technology changes so rapidly that change has to be made to reflect these changes with security in mind. This article outlines a growing technological change (virtualization and cloud computing), and how to properly address IT security concerns within an operating environment. By leveraging a series of encrypted physical and virtual systems, andnetwork isolation measures, this paper delivered a secured high performance computing environment that efficiently utilized computing resources, reduced overall computer processing costs, and ensures confidentiality, integrity, and availability of systems within the operating environment
The document provides guidance on securing industrial control systems through a defense-in-depth approach. It summarizes the Purdue Model for Control Hierarchy, which defines five zones and six levels of operations for industrial control systems. It then presents a reference architecture based on this model, with multiple zones and security controls between the enterprise, manufacturing and process zones. Specifically, it identifies security patterns and controls for access control, log management, network security and remote access that are critical for industrial control system security.
This document discusses how to comply with the Sarbanes-Oxley Act (SOX) using Business Objects and the 360Suite software. It outlines a 9-step process for organizations to identify, secure, and maintain control over financial data protected by SOX. The steps include backing up data incrementally, managing security rights, tagging protected information, analyzing usage logs, implementing version control, and finding/fixing discrepancies. The goal is to improve transparency and safeguard financial data as required by SOX.
Information security management guidance for discrete automationjohnnywess
This document summarizes guidance for establishing an information security management program for industrial automation departments. It finds that while standards and guidance are now readily available, implementing a comprehensive security program requires extensive cross-functional collaboration. None of the publications can be implemented alone by automation departments due to their complexity and need for interdepartmental expertise in areas like risk assessment and network segmentation. Effectively addressing vulnerabilities will require integrating security practices with existing organizational processes and acquiring new technical knowledge across roles.
International Journal of Engineering Research and Development (IJERD)IJERD Editor
This document analyzes studies on automation in the field of information security management. It finds that about 30% of the 133 controls from ISO 27001 can be automated using existing security software tools. It also discusses how the Security Content Automation Protocol (SCAP) can automate compliance and security configuration checking. SCAP provides a standardized way for security software to communicate information about vulnerabilities and configurations. The document concludes that while some isolated automation approaches exist, integrating these approaches can help organizations maximize the benefits of automation in their information security management systems.
1.1 Cyber Security Layers of Defense and Technology Solutions.pdf.pdfThangVuQuang4
This document discusses layers of defense and technology solutions in cybersecurity. It covers topics like access control, application security, data security, host security, network security, and cloud security. For access control, it describes identification, authentication, authorization, and accountability. It provides examples of access control in computer systems and bank vault access. For application security, it discusses the need to protect applications and data. It describes web application firewalls, email security gateways, and database security platforms that can detect and prevent attacks targeting applications.
Make presence in a building or area a policy in accessing network resources by integrating physical and network access through the Trusted Computing Group's IF-MAP communications standard.
The document provides details about various IT systems, controls, computer assisted audit techniques (CAATs), and flowcharts.
It discusses electronic data interchange (EDI) systems, controls over data transmission including authentication codes and encryption, microcomputer systems, and online systems.
The document also describes types of IT controls including general controls like access controls and controls over system changes. It provides examples of general controls such as controls over system acquisition and development, program changes, use of programs and data, and access controls.
Hirsch Identive | White Paper | Securing the Enterprise in a Networked WorldIdentive
The document discusses integrating physical access control systems with network access control to close security gaps. It describes how the Hirsch Velocity physical access control system uses the IF-MAP protocol standard to communicate physical access events like employee entries and exits to network devices. This allows network access policies to consider physical presence, improving both physical and network security by reducing risks of password sharing or unauthorized access from multiple locations.
Report: Study and Implementation of Advance Intrusion Detection and Preventio...Deepak Mishra
This document discusses building an intrusion detection system that combines network-based and log-based detection. It proposes using the Security Onion distribution and its included tools like Snort, Sguil, Squert and OSSEC. It describes configuring Security Onion sensors to monitor network traffic and logs, storing alerts in databases, and using the management consoles to analyze alerts. The goal is to create a comprehensive security monitoring platform through centralized log management and correlation of network and host-based events.
[To download this presentation, visit:
https://www.oeconsulting.com.sg/training-presentations]
This presentation is a curated compilation of PowerPoint diagrams and templates designed to illustrate 20 different digital transformation frameworks and models. These frameworks are based on recent industry trends and best practices, ensuring that the content remains relevant and up-to-date.
Key highlights include Microsoft's Digital Transformation Framework, which focuses on driving innovation and efficiency, and McKinsey's Ten Guiding Principles, which provide strategic insights for successful digital transformation. Additionally, Forrester's framework emphasizes enhancing customer experiences and modernizing IT infrastructure, while IDC's MaturityScape helps assess and develop organizational digital maturity. MIT's framework explores cutting-edge strategies for achieving digital success.
These materials are perfect for enhancing your business or classroom presentations, offering visual aids to supplement your insights. Please note that while comprehensive, these slides are intended as supplementary resources and may not be complete for standalone instructional purposes.
Frameworks/Models included:
Microsoft’s Digital Transformation Framework
McKinsey’s Ten Guiding Principles of Digital Transformation
Forrester’s Digital Transformation Framework
IDC’s Digital Transformation MaturityScape
MIT’s Digital Transformation Framework
Gartner’s Digital Transformation Framework
Accenture’s Digital Strategy & Enterprise Frameworks
Deloitte’s Digital Industrial Transformation Framework
Capgemini’s Digital Transformation Framework
PwC’s Digital Transformation Framework
Cisco’s Digital Transformation Framework
Cognizant’s Digital Transformation Framework
DXC Technology’s Digital Transformation Framework
The BCG Strategy Palette
McKinsey’s Digital Transformation Framework
Digital Transformation Compass
Four Levels of Digital Maturity
Design Thinking Framework
Business Model Canvas
Customer Journey Map
AI Transformation Playbook: Thinking AI-First for Your BusinessArijit Dutta
I dive into how businesses can stay competitive by integrating AI into their core processes. From identifying the right approach to building collaborative teams and recognizing common pitfalls, this guide has got you covered. AI transformation is a journey, and this playbook is here to help you navigate it successfully.
The APCO Geopolitical Radar - Q3 2024 The Global Operating Environment for Bu...APCO
The Radar reflects input from APCO’s teams located around the world. It distils a host of interconnected events and trends into insights to inform operational and strategic decisions. Issues covered in this edition include:
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Ellen Burstyn: From Detroit Dreamer to Hollywood Legend | CIO Women MagazineCIOWomenMagazine
In this article, we will dive into the extraordinary life of Ellen Burstyn, where the curtains rise on a story that's far more attractive than any script.
Unlocking WhatsApp Marketing with HubSpot: Integrating Messaging into Your Ma...Niswey
50 million companies worldwide leverage WhatsApp as a key marketing channel. You may have considered adding it to your marketing mix, or probably already driving impressive conversions with WhatsApp.
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1. Sarbanes-Oxley (SOX) Compliance
Checklist
http://www.correlog.com/support.html
The Sarbanes-Oxley Act (SOX) is Federal law for all publicly held USA corporations,
and establishes extensive civil and criminal penalties for non-compliance.
The main intention of SOX is to establish verifiable security controls to protect against
disclosure of confidential data, and tracking of personnel to detect data tampering that
may be fraud related. The central purpose of the act is to reduce fraud, build public
confidence and trust, and protect data that may affect companies and shareholders.
This act consists of multiple sections, all of which require compliance by a company.
The two principle sections that relate to security are Section 302 and Section 404,
summarized below:
• Section 302. This section is intended to safeguard against faulty financial
reporting. As part of this section, companies must safeguard their data
responsibly so as to ensure that financial reports are not based upon faulty data,
tampered data, or data that may be highly inaccurate.
• Section 404. This section requires the safeguards stated in Section 302 (as well
as other sections) to be externally verifiable by independent auditors, so that
independent auditors may disclose to shareholders and the public possible
security breaches that affect company finances. Specifically, this section
guarantees that the security of data cannot be hidden from auditors, and security
breaches must be reported.
CorreLog satisfies the above requirements by creating a system to track user access,
security information and controls, file integrity, change management, and other security
indicators. With a verifiable audit trail, staff can then document every step to auditors or
assessors and provide them with detailed reports that demonstrate changes made to
information systems can be detected, corrections verified, and anomalies explained.
The path from data to information to knowledge is quick and responsive.
2. CorreLog, Inc. Page 2 SOX Compliance Checklist
Each pertinent subsection of these two main sections of SOX is discussed in detail
within the paragraphs that follow. (Actual sections of SOX are available from a variety of
sources, and are paraphrased below in the context of security frameworks. See
Appendices for specific references.)
Section 302.2 – Establish safeguards to prevent data tampering.
Explanation. This section of SOX requires that the signing officer must attest to the
validity of reported information. Safeguards must exist to prevent tampering with data,
so that data is verifiably true.
CorreLog tracks user access to all the computers that contain your sensitive data. It
detects logins to those computer systems processing financial data, and protects this
data in a variety of ways: it ensures that the system is performing as expected (with
regard to performance, access and software updates) and it detects break-in attempts
to computers, databases, websites and storage disks. CorreLog monitors disk activities,
disk mount points and use of removable storage including CD/DVD burners and
removable USB storage devices.
Section 302.3 – Establish safeguards to establish timelines.
Explanation: This section of SOX requires that the signing officer attest to the fact that
reported information is fairly presented, including accurate reporting for the time
periods. Safeguards must exist that the data relates to a verifiable time period.
CorreLog timestamps all data as it is received. As a real-time system, the data is
immediately stored at a remote location as it is generated, preventing alteration or loss
of this data by any action that can occur at the managed node. Additionally, this log
information is compressed, moved to a new location (i.e. a secure archive), and a
checksum is created. The MD5 checksum is encrypted, preventing any tampering with
the file or checksum. This completely secures audit trails so they cannot be altered.
Section 302.4.B – Establish verifiable controls to track data access.
Explanation: This section of SOX requires internal controls over data, so that officers
are aware of all relevant data. Data must exist in an internally controlled and verifiably
secure framework.
CorreLog can process more than 2000 messages per second and can handle burst
traffic of more than 10,000 messages in one second (depending upon the supporting
hardware.) In a two-tier architecture, CorreLog can receive messages from virtually
unlimited numbers of sources. Additionally, CorreLog is a highly extensible system that
permits collection of data through file queues, FTP transfers, and databases,
independent of the actual framework (such as COBIT and ISO 27000 standards.)
3. CorreLog, Inc. Page 3 SOX Compliance Checklist
Section 302.4.C – Ensure that safeguards are operational.
Explanation: This section of SOX requires that officers have evaluated the effectiveness
of the internal controls as of a date within 90 days prior to the report. The security
framework must be periodically reviewed and verified.
CorreLog is a robust background process, which operates continuously on your
network. Because it is a web based program, it is available from an unlimited number of
seats, and its operation can be checked and reviewed by any individual with a remote
login to the system. Additionally, CorreLog provides a suite of facilities that can issue
daily reports to e-mail addresses or distribute reports via RSS, making it easy to verify
that the system is up and running. CorreLog provides clear indications of its startup
times, shutdown times, as well as these times for all managed devices.
Section 302.4.D – Periodically report the effectiveness of safeguards.
Explanation: This section of SOX requires officers to generate a report on the
effectiveness of the security system, and state their conclusions. The security
framework should report its effectiveness to auditors and officers of the enterprise.
CorreLog is easy to use, and requires minimal training. CorreLog generates multiple
types of reports, including a report on all messages, critical messages, and self-
generated alerts. Reports can be automatically distributed via e-mail and RSS, and are
provided in Excel format (as well as other formats) to make the job of the auditor easy.
Additionally, CorreLog archives reports for later review and forensics, so that auditors
can see a clear indication of operation and the types of data being tracked, and easily
draw their conclusions. Finally, CorreLog incorporates a ticketing system that illustrates
what kind of security problems and activities have taken place recently, or in the distant
past.
Section 302.5.A&B – Detect Security Breaches
Explanation: These two subsections of SOX are similar to those found in Section 404
A&B, and require that security breaches (either due to flaws in the control system, the
security system, or due to fraud) be detected.
CorreLog uses an advanced correlation engine, which performs semantic analysis of
messages in real-time. The system employs correlation threads, correlation counters,
correlation alerts, and correlation triggers, which refine and reduce incoming messages
into high-level alerts. These alert open tickets, which document the security breach, and
which can also trigger actions such as sending e-mail, or updating an incident
management system. The result is a reduction of large amounts of logged data into
real-time security alerts that are sent directly to security personnel and auditors.
4. CorreLog, Inc. Page 4 SOX Compliance Checklist
Section 404.A.1.1 – Disclose security safeguards to independent auditors.
Explanation: This section of SOX relates to management appointed auditors, and
requires them to review control structures and procedures for financial reporting. The
existence of a security framework, and parties responsible for the operation of the
security framework, must be disclosed to auditors.
CorreLog provides access and security to auditors using role-based permissions. For
example, auditors may be permitted complete access to specific reports and facilities
without the ability to actually make changes to these components, or reconfigure the
system. Additionally, because CorreLog is a secure and web-based application,
auditors do not have to be physically present to assess security aspects, or any
particular operation of the system. All aspects, including the downloading of reports, can
be performed remotely (given proper authentication of the user.)
Section 404.A.2 – Disclose security breaches to independent auditors.
Explanation: This section of SOX requires auditors to assess the effectiveness of the
internal control structure. The general effectiveness of the security framework must be
measured and disclosed.
CorreLog is designed to be a complete security logging solution, capable of detecting
security breaches, notifying security personnel in real time, and permitting resolution to
security incidents to be manually entered and stored. In particular, the stream of input
messages is continuously correlated to create tickets (which record security breaches
and other events.) The CorreLog ticketing system includes an e-mail interface that can
quickly notify both auditors and security officers of compromised files, security
breaches, and other significant events. Tickets can be summarized in reports to allow
easy assessment and disclosure of recent and past security breaches.
Section 404.B – Disclose failures of security safeguards to independent auditors.
Explanation: This section of SOX requires auditors to be aware of (and report on)
significant changes to internal controls, and significant failures that could significantly
affect internal controls. Verification must exist that the security framework has been both
operational and effective.
CorreLog schedules periodic tests of network and file integrity, and verifies that certain
messages are logged, indicating successful tests. CorreLog interfaces easily with
common, security-test software, including port scanners, to verify that CorreLog is
successfully monitoring system security. CorreLog provides numerous self-monitoring
functions that can trigger alarms and real-time e-mail messages to multiple individuals
responsible for both maintaining the system, and auditing its performance. This provides
a clear indication of operation and security coverage needed to satisfy this particular
requirement.
5. CorreLog, Inc. Page 5 SOX Compliance Checklist
COBIT and ISO 27000 Support
Sarbanes-Oxley makes multiple references to "internal control" of data. To meet this
requirement, companies must establish rules and guidelines by which the organization
is controlled and audited.
There are many acceptable techniques for establishing this type of governance; one of
the most popular methods of establishing "internal control" is to implement the "COBIT
Framework", created by ISACA. COBIT is an extensive set of guidelines and tools that
describe processes and organizational requirements needed to promote security and
create good governance capable of satisfying SOX requirements. The framework
consists of its own standards, as well as many other standards, including ISO/IEC
27000.
CorreLog supports the COBIT framework and ISO/IEC 27000 in various ways. The
ISO/IEC 27000 standard directly relates to information security, and CorreLog satisfies
these important requirements by implementing verifiable security controls and
safeguards on your computer network as follows:
• CorreLog monitors file integrity and file structures on information systems,
including hardware, software, network, and security infrastructure. It then
provides detailed change audit information to enable agency staff to quickly
pinpoint, analyze, and recover from any undesirable change. CorreLog delivers
assurance that authorized changes are completed, and that unauthorized or ad
hoc changes that circumvented policy are detected and immediately reported.
• With a verifiable audit trail, staff can then document every step to auditors or
assessors and provide them with detailed reports that demonstrate changes
made to information systems can be detected, corrections verified, and
anomalies explained. The path from data to information to knowledge is quick
and responsive.
• By implementing change detection and reporting with configuration assessment,
CorreLog assesses every change as authorized, within policy and compliant,
ensuring systems achieve a known and trusted state. CorreLog then helps
maintain that known and trusted state by establishing a secure baseline to
measure change against, and then monitors against that baseline through
ongoing, tunable change detection and reporting.
An organization cannot claim to have a comprehensive information security policy, or
meet COBIT framework objectives, without monitoring the security message being
constantly logged on platforms within your enterprise. An enterprise that installs
CorreLog, with no other action, takes a major step forward in creating and maintaining
an enterprise security policy that satisfies ISO/IEC 27000, COBIT objectives, and the
legal obligations of Sarbanes-Oxley.
6. CorreLog, Inc. Page 6 SOX Compliance Checklist
Appendix: Sarbanes-Oxley Section 302
SEC. 302. CORPORATE RESPONSIBILITY FOR FINANCIAL REPORTS.
(a) REGULATIONS REQUIRED. — The Commission shall, by rule, require, for each
company filing periodic reports under section 13(a) or 15(d) of the Securities Exchange
Act of 1934 (15 U.S.C. 78m, 78o(d)), that the principal executive officer or officers and
the principal financial officer of officers, or persons performing similar functions, certify
in each annual or quarterly report filed or submitted under either such section of such
Act that —
(1) the signing officer has reviewed the report;
(2) based on the officer's knowledge, the report does not contain any untrue statement
of a material fact or omit to state a material fact necessary in order to make the
statements made, in light of the circumstances under which such statements were
made, not misleading;
(3) based on such officer's knowledge, the financial statements, and other financial
information included in the report, fairly present in all material respects the financial
condition and results of operations of the issuer as of, and for, the periods presented in
the report;
(4) the signing officers:
(A) are responsible for establishing and maintaining internal controls;
(B) have designed such internal controls to ensure that material information relating
to the issuer and its consolidated subsidiaries is made known to such officers by
others within those entities, particularly during the period in which the periodic
reports are being prepared;
(C) have evaluated the effectiveness of the issuer's internal controls as of a
date within 90 days prior to the report; and
(D) have presented in the report their conclusions about the effectiveness of
their internal controls based on their evaluation as of that date;
(5) the signing officers have disclosed to the issuer's auditors and the audit committee
of the board of directors (or persons fulfilling the equivalent function) —
(A) all significant deficiencies in the design or operation of internal controls
which could adversely affect the issuer's ability to record, process, summarize,
and report financial data and have identified for the issuer's auditors any material
weaknesses in internal controls; and
(B) any fraud, whether or not material, that involves management or other
employees who have a significant role in the issuer's internal controls; and
(6) the signing officers have indicated in the report whether or not there were significant
changes in internal controls or in other factors that could significantly affect internal
controls subsequent to the date of their evaluation, including any corrective actions with
regard to significant deficiencies and material weaknesses.
7. CorreLog, Inc. Page 7 SOX Compliance Checklist
Appendix: Sarbanes-Oxley Section 404
SEC. 404. MANAGEMENT ASSESSMENT OF INTERNAL CONTROLS.
(a) RULES REQUIRED. — The Commission shall prescribe rules requiring
each annual report required by section 13(a) or 15(d) of the Securities
Exchange Act of 1934 (15 U.S.C. 78m or 78o(d)) to contain an internal
control report, which shall —
(1) state the responsibility of management for establishing and maintaining an
adequate internal control structure and procedures for financial reporting;
and
(2) contain an assessment, as of the end of the most recent fiscal year of the
issuer, of the effectiveness of the internal control structure and procedures
of the issuer for financial reporting.
(b) INTERNAL CONTROL EVALUATION AND REPORTING. — With respect
to the internal control assessment required by subsection (a), each
registered public accounting firm that prepares or issues the audit report
for the issuer shall attest to, and report on, the assessment made by the
management of the issuer. An attestation made under this subsection
shall be made in accordance with standards for attestation engagements
issued or adopted by the Board. Any such attestation shall not be the
subject of a separate engagement.