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Controls Practice AIS – Flashcards

Patrick Marsh

8 July 2022

question

Modest Expectations Investment Services (MEIS) allows customers to manage their investments over the internet. If customers attempt to sell more shares of a stock than they have in their account, an error message is displayed. This is an example of a

answer

Reasonable Test

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[blank] enables a system to continue functioning in the event that a particular component fails

answer

Fault Tolerance

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All of the following controls for online entry of a sales would be used except

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check digit verification on the dollar amount of the order

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Information technology managers are often in a bind when a new exploit is discovered in the wild. They can respond by updating the affected software or hardware with new code provided by the manufacturer, which runs the risk that a flaw in the update will break the system. Or they can wait until the new code has been extensively tested, but that runs the risk that they will be compromised by the exploit during the testing period. Dealing with these issues is referred to as

answer

Patch Management

question

The organization chart for Geerts Corporation includes a controller and an information processing manager, both of whom report to the vice president of finance. Which of the following would be a control weakness?

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Assigning the programming and operating of the computer system to an independent control group which reports to the controller.

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A specific inventory record indicates that there were 12 items on hand before a customer brings two of the items to the check stand to be purchased. The cashier accidentally entered quantity 20 instead of 2. Which data entry would best have prevented this error?

answer

Sign check

question

Probably the most important change management control is

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Management's careful monitoring and review

question

According to the Sarbanes-Oxley Act of 2002, the audit committee of the board of directors is directly responsible for

answer

hiring and firing external auditors

question

In recent years, many of the attacks carried out by hackers have relied on this type of vulnerability in computer software

answer

Buffer overflow

question

Which of the following is the most effective method of protecting against social engineering attacks on a computer system?

answer

employee awareness training

question

Forms design is an example of this type of control

answer

Input control

question

One of the objectives of the segregation of duties is to

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Make sure that different people handle different parts of the same transaction

question

The most common input-related vulnerability is

answer

Buffer overflow attack

question

File labels are an example of

answer

processing controls

question

Encryption has a remarkably long and varied history. The invention of writing was apparently soon followed by a desire to conceal messages. One of the earliest methods, attributed to an ancient Roman emperor, was the simple substation of numbers for letters, for example A=1 B=2, etc. This is an example of

answer

Symmetric key encryption

question

Which of the following is not an objective of a disaster recovery plan?

answer

Permanently establish an alternative means of processing information.

question

Which of the following is a control related to design and use of documents and records?

answer

sequentially renumbering sales invoices

question

This data entry control compares the ID number in the transaction data to a master file to verify that the ID number exists.

answer

Validity Check

question

Which item below would not typically be part of an adequate disaster recovery plan?

answer

A system upgrade due to operating system software changes.

question

The COSO enterprise risk management integrated framework stresses that

answer

risk management activities are an inherent part of all business operations and should be considered during strategy setting.

question

One way to circumvent the counterfeit of public keys is by using

answer

A digital certificate

question

Reducing management layers, creating self-directed work teams, and emphasizing continuous improvement are all related to which aspect of internal environment?

answer

Organizational Structure

question

According to the Trust Services Framework, the reliability principle of integrity is achieved when the system produces data that

answer

Is complete, accurate, and valid

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A customer failed to include her account number on her check, and the accounts receivable clerk credited her payment to a different customer with the same last name. Which control could have been used to most effectively prevent this error?

answer

Closed-loop verification

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Restricting access of users to specific portions of the system as well as specific tasks, is

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Authorization

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Which component of the COSO enterprise Risk Management Integrated Framework is concerned with understanding how transactions are initiated, data are captured and processed, and information is reported?

answer

Information and communication

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An Access control matrix

answer

is a table specifying which portions of the system users are permitted to access

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Turnaround documents are an example of a(n)

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Input Control

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The Trust Services Framework reliability principle that states that users must be able to enter, update, and retrieve data during agreed-upon times is known as

answer

Availability

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On March 3, 2008, a laptop computer belonging to Folding Squid Technology was stolen from the trunk of Jiao Jan's car while he was attending a conference in Cleveland, Ohio. After reporting the theft, Jiao considered the implications of the theft for the company's network security and concluded there was nothing to worry about because

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The data stored on the computer was encrypted

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A computer operator accidentally used the wrong master file when updating a transaction file. As a result, the master file data is now unreadable. Which control could best have prevented this from happening?

answer

Internal Header Label

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Which of the following descriptions is not associated with symmetric encryption?

answer

Lack of Authentication

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It was 9:08 A.M. when Jiao Jan, the Network Administrator for Folding Squid Technologies, was informed that the intrusion detection system had identified an ongoing attempt to breach network security. By the time that Jiao had identified and blocked the attack, the hacker had accessed an downloaded several files from the company's server. Using the notation for that time-based model of security in this case

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D > P

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Chuck Hewitt was relaxing after work with a colleague at a local watering hole. Well into his second martini, he began expressing his opinions about his work environment. It seems that, as a result of "feminazi" interference, the suggestive banter that had been prevalent in the workplace during his youth was no longer acceptable. He even had to sit through a sexual harassment workshop! The level of control that the company is using in this case is a

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Boundary System

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The data entry control that would best prevent entering an invoice received from a vendor who is not on an authorized supplier list is

answer

A validity check

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A process that takes plaintext of any length and transforms into a short code

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Hashing

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This batch processing data entry control sums a field that contains dollar values.

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Financial Total

question

Which of the following is not a requirement of effective passwords?

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Passwords should be no more than 8 characters in length.

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There are "white hat" hackers and "black hat" hackers. Cowboy451 was one of the "black hat" hackers. He had researched an exploit and determined that he could penetrate the target system, download a file containing valuable data, and cover his tracks in eight minutes. Six minutes into the attack he was locked out of the system. Using the notation of the time-based model of security, which of the following must be true?

answer

P > 6

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The accounting department at Synergy Hydroelectric records an average of 12,500 transactions per hour. By cost-benefit analysis, managers have concluded that the maximum acceptable loss of data in the event of a system failure is 25,000 transactions. If the firm's recovery time objective is 120 minutes, then the worst case recovery time objective is

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4 hours

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Multi-factor authentication methods

answer

involves the use of two or more basis authentication methods

question

This determines if characters are of the proper type

answer

Field Check

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This control entails verifying that the proper number of bits are set to the value 1 in each character received.

answer

Parity Check

question

Go-Go Corporation, a publicly traded company, has three brothers who serve as President, Vice President of Finance and CEO. This situation

answer

increases the risk associated with an audit

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________ controls are designed to make sure an organization's control environment is stable and well managed.

answer

General

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Which of the following is an independent check on performance?

answer

The General Manager compares budgeted amounts with expenditure records from all departments.

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This determines if all required data items have been entered.

answer

Completeness Check

question

This protocol specifies the procedures for dividing files and documents into packets to be sent over the Internet.

answer

Transmission control protocol

question

Generally in a risk assessment process, the first step is to

answer

Identify the threats the company currently faces

question

Change management refers to

answer

controls designed to ensure that updates in information technology do not have negative consequences.

question

Parity checks are an example of a(n)

answer

data transmission control.

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The Director of Information Technology for the city of Bumpkiss, Minnesota, formed a company to sell computer supplies and software. All purchases made on behalf of the City were made from his company. He was later charged with fraud for overcharging the City, but was not convicted. The control issue in this case arose because the Director had both ________ and ________ duties.

answer

recording; auhtorization

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On February 14, 2008, students enrolled in an economics course at Swingline College received an email stating that class would be cancelled. The email claimed to be from the professor, but it wasn't. Computer forensic experts determined that the email was sent from a computer in one of the campus labs at 9:14 A.M. They were then able to uniquely identify the computer that was used by means of its network interface card's ________ address. Security cameras revealed the identity of the student responsible for spoofing the class.

answer

MAC

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A special purpose hardware device or software running on a general purpose computer, which filters information that is allowed to enter and leave the organization's information system, is known as a(n)

answer

firewall

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Safeguarding assets is one of the control objectives of internal control. Which of the following is not one of the other control objectives?

answer

ensuring that no fraud has occured

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The system and processes used to issue and manage asymmetric keys and digital certificates are known as

answer

public key infrastructure.

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According to the ERM, these help the company address all applicable laws and regulations.

answer

Compliance Objectives

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This batch processing data entry control sums a non-financial numeric field.

answer

Hash total

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Information encrypted with the creator's private key that is used to authenticate the sender is

answer

digital signature.

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The maximum amount of time between backups is determined by a company's

answer

recovery point objective.

question

Which attribute below is not an aspect of the COSO ERM Framework internal environment?

answer

Restricting access to assets

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The security technology that evaluates IP packet traffic patterns in order to identify attacks against a system is known as

answer

n intrusion prevention system.

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A facility that contains all the computing equipment the organization needs to perform its essential business activities is known as a

answer

hot site

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This batch processing data entry control sums the number of items in a batch.

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record count

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When new employees are hired by Folding Squid Technologies, they are assigned user names and passwords and provided with laptop computers that have an integrated fingerprint reader. In order to log in, the user's fingerprint must be recognized by the reader. This is an example of a(an)

answer

biometric device.

question

Which of the following is not a reason for the increase in security problems for AIS?

answer

Increasing efficiency resulting from more automation

question

Sequentially prenumbered forms is an example of a(n)

answer

input control

question

The process of turning off unnecessary features in the system is known as

answer

hardening

question

The Spontaneous Combustion Rocket Shoppe in downtown Fargo, North Dakota, generates three quarters of its revenue from orders taken over the Internet. The revenue clearing account is debited by the total of cash and credit receipts and credited by the total of storefront and Internet sales. This is an example of a

answer

Zero-balance test

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Which of the following suggests a weakness in a company's internal environment?

answer

Formal employee performance evaluations are prepared every three years.

question

Which of the following is not a violation of the Sarbanes-Oxley Act (SOX)? The management at Folding Squid Technologies

answer

hired the manager from the external audit team as company CFO twelve months after the manager had worked on the audit.

question

The process that a business uses to safeguard assets, provide accurate and reliable information, and promote and improve operational efficiency is known as

answer

internal control

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Which of the following describes one weakness of encryption?

answer

Encrypted packets cannot be examined by a firewall.

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An electronic document that certifies the identity of the owner of a particular public key.

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Digital Certificate

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Which of the following is not one of the three important factors determining the strength of any encryption system?

answer

Privacy

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Internal control is often referred to as a(n) ________, because it permeates an organization's operating activities and is an integral part of management activities.

answer

process

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This creates logs of network traffic that was permitted to pass the firewall.

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Intrusion detection system

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Which of the following preventive controls are necessary to provide adequate security for social engineering threats?

answer

Awareness Training

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A facility that is pre-wired for necessary telecommunications and computer equipment, but doesn't have equipment installed, is known as a

answer

cold site

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All employees of E.C. Hoxy are required to pass through a gate and present their photo identification cards to the guard before they are admitted. Entry to secure areas, such as the Information Technology Department offices, requires further procedures. This is an example of a(an)

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physical access control.

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Which of the following is not one of the three fundamental information security concepts?

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nformation security is a technology issue based on prevention.

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The SEC and FASB are best described as external influences that directly affect an organization's

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nternal environment.

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This control framework's intent includes helping the organization to provide reasonable assurance that objectives are achieved and problems are minimized, and to avoid adverse publicity and damage to the organization's reputation.

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COSO's enterprise risk management framework

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Perimeter defense is an example of which of the following preventive controls that are necessary to provide adequate security?

answer

Controlling remote access

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A validity check is an example of a(n)

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data entry control.

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Encryption has a remarkably long and varied history. Spies have been using it to convey secret messages ever since there were secret messages to convey. One powerful method of encryption uses random digits. Two documents are prepared with the same random sequence of numbers. The spy is sent out with one and the spy master retains the other. The digits are used as follows. Suppose that the word to be encrypted is SPY and the random digits are 352. Then S becomes V (three letters after S), P becomes U (five letters after P), and Y becomes A (two letters after Y, restarting at A after Z). The spy would encrypt a message and then destroy the document used to encrypt it. This is an early example of

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symmetric key encryption.

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In a private key system the sender and the receiver have ________, and in the public key system they have ________.

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the same key; two separate keys

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Which of the following would be considered a "red flag" for problems with management operating style if the question were answered "yes"?

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All of these statements would raise "red flags" if answered "yes."

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A well-known hacker started his own computer security consulting business shortly after being released from prison. Many companies pay him to attempt to gain unauthorized access to their network. If he is successful, he offers advice as to how to design and implement better controls. What is the name of the testing for which the hacker is being paid?

answer

Penetration test

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A data entry input control in which the application software sums the first four digits of a customer number to calculate the value of the fifth digit and then compares the calculated number to the number typed in during data entry is an example of a

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check digit verification.

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This ensures that the input data will fit into the assigned field.

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Size check

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The process that screens individual IP packets based solely on the contents of the source and/or destination fields in the packet header is known as

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static packet filtering.

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These are used to create digital signatures.

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Asymmetric encryption and hashing

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At a movie theater box office, all tickets are sequentially prenumbered. At the end of each day, the beginning ticket number is subtracted from the ending number to calculate the number of tickets sold. Cash is counted and compared with the number of tickets sold. Which of the following situations does this control detect?

answer

The box office cashier accidentally gives too much change to a customer.

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Jeff Davis took a call from a client. "Jeff, I need for my customers to make payments online using credit cards, but I want to make sure that the credit card data isn't intercepted. What do you suggest?" Jeff responded "The best solution will be to implement

answer

an encryption system with digital signatures."

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Duplicate checking of calculations is an example of a ________ control, and procedures to resubmit rejected transactions is an example of a ________ control.

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detective; corrective

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Which of the following is not a useful control procedure to control access to system outputs?

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Allowing visitors to move through the building without supervision

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Cancellation and storage of documents means that

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documents are defaced and stored.

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Using a combination of symmetric and asymmetric key encryption, Chris Kai sent a report to her home office in Syracuse, New York. She received an email acknowledgement that the document had been received and then, a few minutes later, she received a second email that indicated that the hash calculated from the report differed from that sent with the report. This most likely explanation for this result is that

answer

the symmetric encryption key had been compromised.

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Which of the following is not one of the 10 internationally recognized best practices for protecting the privacy of customers' personal information?

answer

Providing free credit report monitoring for customers

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Meaningful Discussions is a social networking site that boasts over a million registered users and a quarterly membership growth rate in the double digits. As a consequence, the size of the information technology department has been growing very rapidly, with many new hires. Each employee is provided with a name badge with a photo and embedded computer chip that is used to gain entry to the facility. This is an example of a(an)

answer

authentication control.

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A(n) ________ measures company progress by comparing actual performance to planned performance.

answer

diagnostic control system

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Asymmetric key encryption combined with the information provided by a certificate authority allows unique identification of

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either the user or the provider of encrypted data.

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According to the ERM, high level goals that are aligned with and support the company's mission are

answer

strategic objectives.

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Concerning system availability, which of the following statements is true ?

answer

Threats to system availability include hardware and software failures as well as natural and man-made disasters.

question

Error logs and review are an example of

answer

data entry controls.

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The Sarbanes-Oxley Act (SOX) applies to

answer

all publicly held companies.

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Which of the following statements about internal environment is false ?

answer

Management's attitudes toward internal control and ethical behavior have only minimal impact on employee beliefs or actions.

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According to the ERM, these objectives help ensure the accuracy, completeness and reliability of internal and external company reports.

answer

Reporting objectives

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Concerning virtual private networks (VPN), which of the following is not true?

answer

t is more expensive to reconfigure VPNs to include new sites than it is to add or remove the corresponding physical connections in a privately owned network.

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________ involves copying only the data items that have changed since the last partial backup.

answer

Incremental backup

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Batch totals are an example of a(n)

answer

data entry control.

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The most effective way to protect network resources, like email servers, that are outside of the network and are exposed to the Internet is

answer

a demilitarized zone.

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The COSO Enterprise Risk Management Integrated Framework identifies four objectives necessary to achieve corporate goals. Objectives specifically identified include all of the following except

answer

implementation of newest technologies.

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Check digit verification is an example of a(n)

answer

input control.

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The risk that remains after management implements internal controls is

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Residual risk

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What is not a corrective control procedure?

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Deter problems before they arise.

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Murray Snitzel called a meeting of the top management at Snitzel Capital Management. Number one on the agenda was computer system security. "The risk of security breach incidents has become unacceptable," he said, and turned to the Chief Information Officer. "This is your responsibility! What do you intend to do?" Which of the following is the best answer?

answer

Evaluate and modify the system using the Trust Services framework

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In developing policies related to personal information about customers, Folding Squid Technologies adhered to the Trust Services framework. The standard applicable to these policies is

answer

privacy

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The COSO Enterprise Risk Management Framework includes eight components. Which of the following is not one of them?

answer

compliance with federal, state, or local laws

question

Which of the following is an example of a preventive control?

answer

Encryption

question

Compatibility tests utilize a(n) ________, which is a list of authorized users, programs, and data files the users are authorized to access or manipulate.

answer

access control matrix

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This is used to identify rogue modems (or by hackers to identify targets).

answer

War dialing

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If the time an attacker takes to break through the organization's preventive controls is greater than the sum of the time required to detect the attack and the time required to respond to the attack, then security is

answer

effective.

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What is the most effective way to ensure information system availability?

answer

Maintain a hot site

question

the ________ disseminates information about fraud, errors, breaches and other improper system uses and their consequences.

answer

chief security officer

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When a computer system's files are automatically duplicated on a second data storage system as they are changed, the process is referred to as

answer

real-time mirroring.

question

Which of the following is an example of a corrective control?

answer

Incident response teams

question

When new employees are hired by Folding Squid Technologies, they are assigned user names and appropriate permissions are entered into the information system's access control matrix. This is an example of a(an)

answer

authorization control.

question

This is an authorized attempt by an internal audit team or an external security consultant to attempt to break into the organization's information system.

answer

Penetration test

question

These systems use the same key to encrypt and to decrypt.

answer

Symmetric encryption

question

Which of the following is not one of the important aspects of the Sarbanes-Oxley Act?

answer

New rules for information systems development

question

According to the COSO Enterprise Risk Management Framework, the risk assessment process incorporates all of the following components except

answer

reporting potential risks to auditors.

question

River Rafting Adventures of Iowa provides rafts and tour guides to tourists eager to ride the wild rivers of Iowa. Management has determined that there is one chance in a thousand of a client being injured or killed. Settlement of resulting lawsuits has an average cost of $650,000. Insurance with a $50,000 deductible is available. It covers the costs of lawsuits, unless there is evidence of criminal negligence. What is the impact of this risk without insurance?

answer

$650,000

question

Verifying the identity of the person or device attempting to access the system is

answer

authentication.

question

While this type of backup process takes longer than the alternative, restoration is easier and faster.

answer

Differential backup

question

Which of the following is not associated with asymmetric encryption?

answer

Speed

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The process that maintains a table that lists all established connections between the organization's computers and the Internet, to determine whether an incoming packet is part of an ongoing communication initiated by an internal computer is known as

answer

stateful packet filtering.

question

A copy of a database, master file, or software that will be retained indefinitely as a historical record is known as a(n)

answer

archive.

question

The process that allows a firewall to be more effective by examining the data in the body of an IP packet, instead of just the header, is known as

answer

deep packet inspection.

question

According to the ERM, these deal with the effectiveness and efficiency of company operations, such as performance and profitability goals.

answer

Operations objectives

question

eff Davis took a call from a client. "Jeff, I need to interact online and real time with our affiliate in India, and I want to make sure that our communications aren't intercepted. What do you suggest?" Jeff responded "The best solution will be to implement

answer

a virtual private network."

1 of

Unlock all answers in this set

Unlock answers

question

answer

Reasonable Test

question

[blank] enables a system to continue functioning in the event that a particular component fails

answer

Fault Tolerance

question

All of the following controls for online entry of a sales would be used except

answer

check digit verification on the dollar amount of the order

question

answer

Patch Management

question

answer

Assigning the programming and operating of the computer system to an independent control group which reports to the controller.

question

answer

Sign check

question

Probably the most important change management control is

answer

Management's careful monitoring and review

question

According to the Sarbanes-Oxley Act of 2002, the audit committee of the board of directors is directly responsible for

answer

hiring and firing external auditors

question

In recent years, many of the attacks carried out by hackers have relied on this type of vulnerability in computer software

answer

Buffer overflow

question

Which of the following is the most effective method of protecting against social engineering attacks on a computer system?

answer

employee awareness training

question

Forms design is an example of this type of control

answer

Input control

question

One of the objectives of the segregation of duties is to

answer

Make sure that different people handle different parts of the same transaction

question

The most common input-related vulnerability is

answer

Buffer overflow attack

question

File labels are an example of

answer

processing controls

question

answer

Symmetric key encryption

question

Which of the following is not an objective of a disaster recovery plan?

answer

Permanently establish an alternative means of processing information.

question

Which of the following is a control related to design and use of documents and records?

answer

sequentially renumbering sales invoices

question

This data entry control compares the ID number in the transaction data to a master file to verify that the ID number exists.

answer

Validity Check

question

Which item below would not typically be part of an adequate disaster recovery plan?

answer

A system upgrade due to operating system software changes.

question

The COSO enterprise risk management integrated framework stresses that

answer

risk management activities are an inherent part of all business operations and should be considered during strategy setting.

question

One way to circumvent the counterfeit of public keys is by using

answer

A digital certificate

question

Reducing management layers, creating self-directed work teams, and emphasizing continuous improvement are all related to which aspect of internal environment?

answer

Organizational Structure

question

According to the Trust Services Framework, the reliability principle of integrity is achieved when the system produces data that

answer

Is complete, accurate, and valid

question

answer

Closed-loop verification

question

Restricting access of users to specific portions of the system as well as specific tasks, is

answer

Authorization

question

answer

Information and communication

question

An Access control matrix

answer

is a table specifying which portions of the system users are permitted to access

question

Turnaround documents are an example of a(n)

answer

Input Control

question

The Trust Services Framework reliability principle that states that users must be able to enter, update, and retrieve data during agreed-upon times is known as

answer

Availability

question

answer

The data stored on the computer was encrypted

question

answer

Internal Header Label

question

Which of the following descriptions is not associated with symmetric encryption?

answer

Lack of Authentication

question

answer

D > P

question

answer

Boundary System

question

The data entry control that would best prevent entering an invoice received from a vendor who is not on an authorized supplier list is

answer

A validity check

question

A process that takes plaintext of any length and transforms into a short code

answer

Hashing

question

This batch processing data entry control sums a field that contains dollar values.

answer

Financial Total

question

Which of the following is not a requirement of effective passwords?

answer

Passwords should be no more than 8 characters in length.

question

answer

P > 6

question

answer

4 hours

question

Multi-factor authentication methods

answer

involves the use of two or more basis authentication methods

question

This determines if characters are of the proper type

answer

Field Check

question

This control entails verifying that the proper number of bits are set to the value 1 in each character received.

answer

Parity Check

question

Go-Go Corporation, a publicly traded company, has three brothers who serve as President, Vice President of Finance and CEO. This situation

answer

increases the risk associated with an audit

question

________ controls are designed to make sure an organization's control environment is stable and well managed.

answer

General

question

Which of the following is an independent check on performance?

answer

The General Manager compares budgeted amounts with expenditure records from all departments.

question

This determines if all required data items have been entered.

answer

Completeness Check

question

This protocol specifies the procedures for dividing files and documents into packets to be sent over the Internet.

answer

Transmission control protocol

question

Generally in a risk assessment process, the first step is to

answer

Identify the threats the company currently faces

question

Change management refers to

answer

controls designed to ensure that updates in information technology do not have negative consequences.

question

Parity checks are an example of a(n)

answer

data transmission control.

question

answer

recording; auhtorization

question

answer

MAC

question

answer

firewall

question

Safeguarding assets is one of the control objectives of internal control. Which of the following is not one of the other control objectives?

answer

ensuring that no fraud has occured

question

The system and processes used to issue and manage asymmetric keys and digital certificates are known as

answer

public key infrastructure.

question

According to the ERM, these help the company address all applicable laws and regulations.

answer

Compliance Objectives

question

This batch processing data entry control sums a non-financial numeric field.

answer

Hash total

question

Information encrypted with the creator's private key that is used to authenticate the sender is

answer

digital signature.

question

The maximum amount of time between backups is determined by a company's

answer

recovery point objective.

question

Which attribute below is not an aspect of the COSO ERM Framework internal environment?

answer

Restricting access to assets

question

The security technology that evaluates IP packet traffic patterns in order to identify attacks against a system is known as

answer

n intrusion prevention system.

question

A facility that contains all the computing equipment the organization needs to perform its essential business activities is known as a

answer

hot site

question

This batch processing data entry control sums the number of items in a batch.

answer

record count

question

answer

biometric device.

question

Which of the following is not a reason for the increase in security problems for AIS?

answer

Increasing efficiency resulting from more automation

question

Sequentially prenumbered forms is an example of a(n)

answer

input control

question

The process of turning off unnecessary features in the system is known as

answer

hardening

question

answer

Zero-balance test

question

Which of the following suggests a weakness in a company's internal environment?

answer

Formal employee performance evaluations are prepared every three years.

question

Which of the following is not a violation of the Sarbanes-Oxley Act (SOX)? The management at Folding Squid Technologies

answer

hired the manager from the external audit team as company CFO twelve months after the manager had worked on the audit.

question

The process that a business uses to safeguard assets, provide accurate and reliable information, and promote and improve operational efficiency is known as

answer

internal control

question

Which of the following describes one weakness of encryption?

answer

Encrypted packets cannot be examined by a firewall.

question

An electronic document that certifies the identity of the owner of a particular public key.

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Digital Certificate

question

Which of the following is not one of the three important factors determining the strength of any encryption system?

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Privacy

question

Internal control is often referred to as a(n) ________, because it permeates an organization's operating activities and is an integral part of management activities.

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process

question

This creates logs of network traffic that was permitted to pass the firewall.

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Intrusion detection system

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Which of the following preventive controls are necessary to provide adequate security for social engineering threats?

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Awareness Training

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A facility that is pre-wired for necessary telecommunications and computer equipment, but doesn't have equipment installed, is known as a

answer

cold site

question

answer

physical access control.

question

Which of the following is not one of the three fundamental information security concepts?

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nformation security is a technology issue based on prevention.

question

The SEC and FASB are best described as external influences that directly affect an organization's

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nternal environment.

question

answer

COSO's enterprise risk management framework

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Perimeter defense is an example of which of the following preventive controls that are necessary to provide adequate security?

answer

Controlling remote access

question

A validity check is an example of a(n)

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data entry control.

question

answer

symmetric key encryption.

question

In a private key system the sender and the receiver have ________, and in the public key system they have ________.

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the same key; two separate keys

question

Which of the following would be considered a "red flag" for problems with management operating style if the question were answered "yes"?

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All of these statements would raise "red flags" if answered "yes."

question

answer

Penetration test

question

answer

check digit verification.

question

This ensures that the input data will fit into the assigned field.

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Size check

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The process that screens individual IP packets based solely on the contents of the source and/or destination fields in the packet header is known as

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static packet filtering.

question

These are used to create digital signatures.

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Asymmetric encryption and hashing

question

answer

The box office cashier accidentally gives too much change to a customer.

question

answer

an encryption system with digital signatures."

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Duplicate checking of calculations is an example of a ________ control, and procedures to resubmit rejected transactions is an example of a ________ control.

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detective; corrective

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Which of the following is not a useful control procedure to control access to system outputs?

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Allowing visitors to move through the building without supervision

question

Cancellation and storage of documents means that

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documents are defaced and stored.

question

answer

the symmetric encryption key had been compromised.

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Which of the following is not one of the 10 internationally recognized best practices for protecting the privacy of customers' personal information?

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Providing free credit report monitoring for customers

question

answer

authentication control.

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A(n) ________ measures company progress by comparing actual performance to planned performance.

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diagnostic control system

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Asymmetric key encryption combined with the information provided by a certificate authority allows unique identification of

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either the user or the provider of encrypted data.

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According to the ERM, high level goals that are aligned with and support the company's mission are

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strategic objectives.

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Concerning system availability, which of the following statements is true ?

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Threats to system availability include hardware and software failures as well as natural and man-made disasters.

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Error logs and review are an example of

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data entry controls.

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The Sarbanes-Oxley Act (SOX) applies to

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all publicly held companies.

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Which of the following statements about internal environment is false ?

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Management's attitudes toward internal control and ethical behavior have only minimal impact on employee beliefs or actions.

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According to the ERM, these objectives help ensure the accuracy, completeness and reliability of internal and external company reports.

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Reporting objectives

question

Concerning virtual private networks (VPN), which of the following is not true?

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t is more expensive to reconfigure VPNs to include new sites than it is to add or remove the corresponding physical connections in a privately owned network.

question

________ involves copying only the data items that have changed since the last partial backup.

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Incremental backup

question

Batch totals are an example of a(n)

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data entry control.

question

The most effective way to protect network resources, like email servers, that are outside of the network and are exposed to the Internet is

answer

a demilitarized zone.

question

The COSO Enterprise Risk Management Integrated Framework identifies four objectives necessary to achieve corporate goals. Objectives specifically identified include all of the following except

answer

implementation of newest technologies.

question

Check digit verification is an example of a(n)

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input control.

question

The risk that remains after management implements internal controls is

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Residual risk

question

What is not a corrective control procedure?

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Deter problems before they arise.

question

answer

Evaluate and modify the system using the Trust Services framework

question

In developing policies related to personal information about customers, Folding Squid Technologies adhered to the Trust Services framework. The standard applicable to these policies is

answer

privacy

question

The COSO Enterprise Risk Management Framework includes eight components. Which of the following is not one of them?

answer

compliance with federal, state, or local laws

question

Which of the following is an example of a preventive control?

answer

Encryption

question

Compatibility tests utilize a(n) ________, which is a list of authorized users, programs, and data files the users are authorized to access or manipulate.

answer

access control matrix

question

This is used to identify rogue modems (or by hackers to identify targets).

answer

War dialing

question

answer

effective.

question

What is the most effective way to ensure information system availability?

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Maintain a hot site

question

the ________ disseminates information about fraud, errors, breaches and other improper system uses and their consequences.

answer

chief security officer

question

When a computer system's files are automatically duplicated on a second data storage system as they are changed, the process is referred to as

answer

real-time mirroring.

question

Which of the following is an example of a corrective control?

answer

Incident response teams

question

answer

authorization control.

question

This is an authorized attempt by an internal audit team or an external security consultant to attempt to break into the organization's information system.

answer

Penetration test

question

These systems use the same key to encrypt and to decrypt.

answer

Symmetric encryption

question

Which of the following is not one of the important aspects of the Sarbanes-Oxley Act?

answer

New rules for information systems development

question

According to the COSO Enterprise Risk Management Framework, the risk assessment process incorporates all of the following components except

answer

reporting potential risks to auditors.

question

answer

$650,000

question

Verifying the identity of the person or device attempting to access the system is

answer

authentication.

question

While this type of backup process takes longer than the alternative, restoration is easier and faster.

answer

Differential backup

question

Which of the following is not associated with asymmetric encryption?

answer

Speed

question

answer

stateful packet filtering.

question

A copy of a database, master file, or software that will be retained indefinitely as a historical record is known as a(n)

answer

archive.

question

The process that allows a firewall to be more effective by examining the data in the body of an IP packet, instead of just the header, is known as

answer

deep packet inspection.

question

According to the ERM, these deal with the effectiveness and efficiency of company operations, such as performance and profitability goals.

answer

Operations objectives

question

answer

a virtual private network."

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