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Audit on the current management and supervision of information protection and cyber security in the financial sector
- Evaluation of management and supervision of information protection and cyber security in the financial sector - Evaluation of current state of security management system in the financial sector ... - Based on a sample of 10 public institutions and 9 financial institutions. ... Information Protection and cyber security in the financial sector ... SAI Korea reviewed 10 public and nine financial institutions. Their analysis shows how the lack of evaluation at management level can result in decrease of stakeholders' confidence or even ... in economic damage.
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- Evaluation of management and supervision of information protection and cyber security in the financial sector - Evaluation of current state of security management system in the financial sector ... - Based on a sample of 10 public institutions and 9 financial institutions. ... Information Protection and cyber security in the financial sector ... SAI Korea reviewed 10 public and nine financial institutions. Their analysis shows how the lack of evaluation at management level can result in decrease of stakeholders' confidence or even ... in economic damage.
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Board of Audit and Inspection of Korea
, issued in 2011
Risk cases: 2
Opportunities Exist for SEC to Improve Its Controls over Financial Systems and Data
of the commission’s fiscal years 2015 and 2014 financial statements. GAO’s objective was to determine the effectiveness of information security controls for protecting the confidentiality, integrity, and availability ... . In carrying out its mission, the SEC relies on computerized information systems to collect, process, and store sensitive information, including financial data. Having effective information security controls ... in place is essential to protecting these systems and the information they contain. <br/> This report details weaknesses GAO identified in the information security program at SEC during its audit ... IT security basics under scrutiny ... Financial audit by US GAO was accompanied by an IT examination focused on information security measures in the Securities and Exchange Commission (SEC). GAO found that SEC’s systems could ... be compromised, because of risks jeopardizing the confidentiality, integrity, and availability of sensitive financial information.
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of the commission’s fiscal years 2015 and 2014 financial statements. GAO’s objective was to determine the effectiveness of information security controls for protecting the confidentiality, integrity, and availability ... . In carrying out its mission, the SEC relies on computerized information systems to collect, process, and store sensitive information, including financial data. Having effective information security controls ... in place is essential to protecting these systems and the information they contain. <br/> This report details weaknesses GAO identified in the information security program at SEC during its audit ... IT security basics under scrutiny ... Financial audit by US GAO was accompanied by an IT examination focused on information security measures in the Securities and Exchange Commission (SEC). GAO found that SEC’s systems could ... be compromised, because of risks jeopardizing the confidentiality, integrity, and availability of sensitive financial information.
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General Accountability Office
, issued in 2016
Risk cases: 5
Performance Audit of Public Debt Management Information Systems
and External Financing Department – Ministry’s organizational unit responsible for public debt management. Audit team evaluated the activities of the IT service provider - LEPL Financial-Analytical Service ... The usage and development of the information technologies in public financial management is an important priority of the country at the phase of intensive implementation of electronic governance ... of information systems in the public debt management process and having considered legal requirements to information security, State Audit Office of Georgia conducted Performance Audit of Public Debt Management ... ... More effective IT governance needed ... financial institutions. Audit conducted by the State Audit Office of Georgia has revealed security and governance shortcomings related to management and usage of these systems. ... Importance of effective performance of public debt management e-systems may be explained by the world’s increased dependence on such systems. In parallel with the performance audit of debt management ... information systems of the Ministry Of Finance of Georgia, Supreme Audit Institutions of 11 countries also studied this topic, both in terms of systems’ performance and their practical application by local
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and External Financing Department – Ministry’s organizational unit responsible for public debt management. Audit team evaluated the activities of the IT service provider - LEPL Financial-Analytical Service ... The usage and development of the information technologies in public financial management is an important priority of the country at the phase of intensive implementation of electronic governance ... of information systems in the public debt management process and having considered legal requirements to information security, State Audit Office of Georgia conducted Performance Audit of Public Debt Management ... ... More effective IT governance needed ... financial institutions. Audit conducted by the State Audit Office of Georgia has revealed security and governance shortcomings related to management and usage of these systems. ... Importance of effective performance of public debt management e-systems may be explained by the world’s increased dependence on such systems. In parallel with the performance audit of debt management ... information systems of the Ministry Of Finance of Georgia, Supreme Audit Institutions of 11 countries also studied this topic, both in terms of systems’ performance and their practical application by local
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State Audit Office Of Georgia
, issued in 2014
Risk cases: 5
Audit to the Social Security Systems of Collection of Contributions and Quotes and Relationship with Banking and other Entities Engaged in Collection Initiatives
The audit aims to evaluate the effectiveness and efficiency of the processes implemented in respect of the processing schemes of contributions/quotas, whose Wages Statements (WS) entered ... into the system in the first quarter of 2007, test the reliability, stability and confidence level of the application systems developed and the respective values processed in the entire collection circuit ... and respective accounting, and also check compliance with the contracts celebrated with banking entities. ... ... Application level of Social Security IS analyzed ... Processes maturity and automation of controls appeared to be main problems in the system which reliability, stability and confidence level were tested.
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The audit aims to evaluate the effectiveness and efficiency of the processes implemented in respect of the processing schemes of contributions/quotas, whose Wages Statements (WS) entered ... into the system in the first quarter of 2007, test the reliability, stability and confidence level of the application systems developed and the respective values processed in the entire collection circuit ... and respective accounting, and also check compliance with the contracts celebrated with banking entities. ... ... Application level of Social Security IS analyzed ... Processes maturity and automation of controls appeared to be main problems in the system which reliability, stability and confidence level were tested.
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TRIBUNAL DE CONTAS DE PORTUGAL
, issued in 2008
Risk cases: 2
Performance Audit of the Georgian Government electronic Procurement system
State procurement is one of the key components of public financial management. Its share in state budget is approximately 25 percent. Effective management of state procurements is an important sphere ... of interest for the State Audit Office. Considering the fact that since 2010 major part of public procurements is being conducted electronically and there is no alternative tool, uninterrupted provision ... of existing data through effective procurement policies and procedures. <br /> Having considered aforementioned factors, SAO conducted performance audit of the Georgian electronic Government Procurement system ... ... Electronic procurement system - how effective are management and control mechanisms? ... SAI Georgia analyzed the electronic Government Procurement system. In their report they focus on compliance and security problems, which may harm the business goals and overall mission of the system.
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State procurement is one of the key components of public financial management. Its share in state budget is approximately 25 percent. Effective management of state procurements is an important sphere ... of interest for the State Audit Office. Considering the fact that since 2010 major part of public procurements is being conducted electronically and there is no alternative tool, uninterrupted provision ... of existing data through effective procurement policies and procedures. <br /> Having considered aforementioned factors, SAO conducted performance audit of the Georgian electronic Government Procurement system ... ... Electronic procurement system - how effective are management and control mechanisms? ... SAI Georgia analyzed the electronic Government Procurement system. In their report they focus on compliance and security problems, which may harm the business goals and overall mission of the system.
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State Audit Office Of Georgia
, issued in 2016
Risk cases: 5
Auditing the National Rationing System
The audit was to investigate the data quality, validity and reliability of two sub-systems (Ration Card and Ration Distribution) of a National Rationing System (Ration System) with the comparison ... to the rules and regulations in order to make an assessment of soundness of the Ration system and its related operations. ... Unreliable databases trigger all kinds of possible problems ... Ministry responsible for functioning of the National Rationing System developed to automate and optimize the delivery of essential subsidized commodities to eligible beneficiaries and providing state ... with reliable information fails its job.
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The audit was to investigate the data quality, validity and reliability of two sub-systems (Ration Card and Ration Distribution) of a National Rationing System (Ration System) with the comparison ... to the rules and regulations in order to make an assessment of soundness of the Ration system and its related operations. ... Unreliable databases trigger all kinds of possible problems ... Ministry responsible for functioning of the National Rationing System developed to automate and optimize the delivery of essential subsidized commodities to eligible beneficiaries and providing state ... with reliable information fails its job.
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State Audit Bureau of Kuwait
, issued in 2014
Risk cases: 4
Coordinated Audit on Information Technology Governance
IT governance needs awareness and SAIs' support The OLACEFS auditors found that the greatest challenge for the SAIs is to raise the awareness of the audit institutions about the importance of IT governance and the benefits that could be obtained by improving its degree of maturity. The audit was conducted by 11 SAIs and coordinated by TCU of Brasil. They concluded: 'It is important, even urgent, to invest resources to implement or enhance: the IT committees; the IT planning process; strategic IT planning; monitoring the IT contracting process; the business continuity plan; the designation of a responsible person or unit to manage security information; a risk management process; an asset inventory process; an information security committee; and a policy for access control.'
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IT governance needs awareness and SAIs' support The OLACEFS auditors found that the greatest challenge for the SAIs is to raise the awareness of the audit institutions about the importance of IT governance and the benefits that could be obtained by improving its degree of maturity. The audit was conducted by 11 SAIs and coordinated by TCU of Brasil. They concluded: 'It is important, even urgent, to invest resources to implement or enhance: the IT committees; the IT planning process; strategic IT planning; monitoring the IT contracting process; the business continuity plan; the designation of a responsible person or unit to manage security information; a risk management process; an asset inventory process; an information security committee; and a policy for access control.'
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Risk cases: 5
Parallel Audit on Biometric Passports - Overall Results (anonymised)
A biometric passport (or ePassport) contains biometric information which serves to authenticate the identity of travellers. Biometric passport management is the process of establishing ... and implementing the regulation on standards for security features and biometrics in passports and travel documents issued by the member states. The aim is to develop and maintain efficient and secure biometric ... passport production procedures (see page 5). ... EUROSAI ITWG: Parallel Audit on Biometric Passports ... Swiss SAI summed up results of audits concluded in seven countries (Belgium, Latvia, Lithuania, Norway, Portugal, Switzerland). The evaluation of the reported results showed that the overall passport ... process is generally under control while a couple of high-risk findings were identified in the non-process-specific assessments. In the non-process-specific assessments, most of the countries found ... deficiencies and weaknesses related to the IS/IT system and the IT management. Medium risks have been identified in the area of laws and regulations, cost-benefit realisation and transparency, as well
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A biometric passport (or ePassport) contains biometric information which serves to authenticate the identity of travellers. Biometric passport management is the process of establishing ... and implementing the regulation on standards for security features and biometrics in passports and travel documents issued by the member states. The aim is to develop and maintain efficient and secure biometric ... passport production procedures (see page 5). ... EUROSAI ITWG: Parallel Audit on Biometric Passports ... Swiss SAI summed up results of audits concluded in seven countries (Belgium, Latvia, Lithuania, Norway, Portugal, Switzerland). The evaluation of the reported results showed that the overall passport ... process is generally under control while a couple of high-risk findings were identified in the non-process-specific assessments. In the non-process-specific assessments, most of the countries found ... deficiencies and weaknesses related to the IS/IT system and the IT management. Medium risks have been identified in the area of laws and regulations, cost-benefit realisation and transparency, as well
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Swiss Federal Audit Office
, issued in 2015
Risk cases: 4
Audit of the procurement of ICT products with the potential to be standard products
ICT procurement system reviewed SFAO points out what is critical in ICT procurement. Requirements management is extremely important, as well as procurement strategies for relevant product groups. Legal rules should protect investments and support competition, but they can still be insufficient without appropriate reporting - if you want your system to adapt to changes.
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ICT procurement system reviewed SFAO points out what is critical in ICT procurement. Requirements management is extremely important, as well as procurement strategies for relevant product groups. Legal rules should protect investments and support competition, but they can still be insufficient without appropriate reporting - if you want your system to adapt to changes.
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Swiss Federal Audit Office
, issued in 2015
Risk cases: 4
Has Public Administration Used All Opportunities for Efficient Management of ICT Infrastructure?
Efficient Management of ICT Infrastructure Centralised management of ICT services and infrastructure would allow the institutions to optimise in long run their resources – financial, human, material and technical. However, we observed during the audit that the move towards ICT centralisation and single data centres has ceased. The different ministries and even the institutions subordinated to the same ministry do not cooperate sufficiently with each other regarding the ICT management, maintenance, and infrastructure placement. They rather choose to maintain their own, sometimes even several, data centres.
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Efficient Management of ICT Infrastructure Centralised management of ICT services and infrastructure would allow the institutions to optimise in long run their resources – financial, human, material and technical. However, we observed during the audit that the move towards ICT centralisation and single data centres has ceased. The different ministries and even the institutions subordinated to the same ministry do not cooperate sufficiently with each other regarding the ICT management, maintenance, and infrastructure placement. They rather choose to maintain their own, sometimes even several, data centres.
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State Audit Office of the Republic of Latvia
, issued in 2019
Risk cases: 3