You been emailed to answer the following. The auditors must have a listing of ou

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You been emailed to answer the following.
The auditors must have a listing of our IT controls (see email below and document attached) – note the highlighted section.
What policy would you use to ensure the list of IT controls are in place to protect the universe.
C9001 – IT is evaluated regularly for risks and any identified risks are appropriately addressed.
C9002 – All outside service providers used by the entity are evaluated to determine those who provide material financial services that may impact controls.
C9003 – A backup and data retention policy/schedule exists specifying how often backups are to be performed, how long they are to be retained, and where the backup media is to be stored.
C9004 – Application data and file server backups are performed to minimize the risk of lost or corrupted data. Backup data is secure (accessible only by authorized personnel).
C9005 – Application data and file server recovery procedures are tested at least annually to ensure data integrity and recovery.
C9008 – Batch processing is controlled and monitored to ensure proper completion.
C9010 – Interfaces between systems include appropriate controls to ensure the complete and accurate transfer of data.
C9011 – Appropriate environmental controls (such as fire/smoke detection, temperature controls, and alternate power supply) exist to ensure the security and reliability of equipment.
C9012 – A process exists to ensure that systems incidents, problems, and errors are reported, analyzed, and resolved in a timely manner.
C9013 – An information security policy exists that defines information security objectives. This policy is supported by documented standards and procedures where necessary.
C9014 – Procedures exist and are followed to ensure timely action relating to requesting, establishing, issuing, suspending, modifying, and closing user accounts, including appropriate authorization.
C9017 – User access rights are removed or suspended in a timely manner when employees are terminated. Standards exist to define timeliness requirements for various situations (i.e., voluntary or involuntary termination).
C9018 – User access rights (network, application, and database) are granted on a need-to-know, need-to-do basis that considers appropriate segregation of duties.
C9023 – Procedures exist and are followed to maintain the effectiveness of authentication and access mechanisms (e.g. password length and complexity, password history, password expiration, and lockout for failed attempts).
C9024 – Controls are in place to ensure that all users are identified uniquely:
• No shared IDs are used except for limited, read-only access.
• Access rights of any guest ID’s are appropriately limited.
C9025 – Physical access to file/communication servers, off-line data storage, and other sensitive areas is appropriately restricted to authorized personnel. Access is reviewed for appropriateness on a periodic basis.
C9026 – Controls over perimeter and network security are in place. Such controls may include firewalls, routers, terminal service devices, wireless security, intrusion detection, and vulnerability assessments where appropriate.
C9028 – Application, database, and operating system changes are appropriately approved and tracked in a centralized change tracking database or system.
C9032 – Controls are in place to ensure that only authorized individuals migrate application programs to production.
C9033 – A formal change management policy documents the minimum requirements for program changes and system acquisition and development on a entity-wide basis.
C9034 – Application controls are formally considered and documented during the implementation of new information systems.
C9035 – Users are involved in deriving application requirements.
C9036 – A test plan is developed and followed for all major implementation projects, including data conversion testing as appropriate.
C9037 – User acceptance testing is performed on all user-requested projects. Tests are completed and documented prior to the move into production.
C9038 – Software users are prohibited from having access to source code, the compiler, and programming documentation, including protection of critical spreadsheet formulas.
C9040 – There is appropriate segregation of duties among those who:
• Administer IT security.
• Make changes to programs or systems.
• Perform transaction and accounting duties.
C9041 – Sensitive data is encrypted on servers, individual computers, and portable devices (e.g. phones, tablets, USB flash drives, etc.).
C9042 – Penetration testing is performed periodically to identify, assess, and address cybersecurity risk.
C9043 – Cybersecurity breach detection sensors are deployed throughout the IT network and monitored. Detected events are properly investigated.
C9044 – Cybersecurity training for all users, covering topics such as phishing scams and business email compromise scams, is periodically conducted.
C9045 – Management obtains and evaluates SOC1 type 2 reports for third-party service organizations and software vendors that process financial transactions for the entity.

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