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Index
Cover Title Page Copyright Page Dedication About the Author Contents Acknowledgments Introduction Part I Audit Overview
Chapter 1 Building an Effective Internal IT Audit Function
Why Are We Here? (The Internal Audit Department’s Mission) Independence: The Great Myth Adding Value Outside of Formal Audits Business Advisory Audits Four Methods for Business Advisory Audits
Early Involvement Informal Audits Knowledge Sharing Self-Assessments
Continuous Auditing
Final Thoughts on Adding Value Outside of Formal Audits
Relationship Building: Partnering vs. Policing
Learning to Build Partnerships
The Role of the IT Audit Team
Application Auditors (or Integrated Auditors) Data Extraction and Analysis Specialists IT Auditors
Forming and Maintaining an Effective IT Audit Team
Career IT Auditors IT Professionals Career IT Auditors vs. IT Professionals: Final Thoughts Co-sourcing
Maintaining Expertise
Sources of Learning
Relationship with External Auditors and Internal Assurance Functions Summary
Chapter 2 The Audit Process
Internal Controls
Types of Internal Controls Internal Control Examples
Determining What to Audit
Creating the Audit Universe Ranking the Audit Universe Determining What to Audit: Final Thoughts
The Stages of an Audit
Planning Fieldwork and Documentation Issue Discovery and Validation Solution Development Report Drafting and Issuance Issue Tracking
Standards Summary
Part II Auditing Techniques
Chapter 3 Auditing Entity-Level Controls
Background Test Steps for Auditing Entity-Level Controls Knowledge Base Master Checklist
Chapter 4 Auditing Cybersecurity Programs
Background Steps for Auditing Cybersecurity Programs Knowledge Base Master Checklist
Chapter 5 Auditing Data Centers and Disaster Recovery
Background Data Center Auditing Essentials
Physical Security and Environmental Controls System and Site Resiliency Data Center Operations Disaster Preparedness
Test Steps for Auditing Data Centers
Neighborhood and External Risk Factors Physical Access Controls Environmental Controls Power and Electricity Fire Suppression Data Center Operations System Resiliency Data Backup and Restoration Disaster Recovery Planning Knowledge Base Master Checklists
Chapter 6 Auditing Networking Devices
Background Network Auditing Essentials
Protocols OSI Model Routers and Switches LANs, VLANs, WANs, and WLANs Firewalls
Auditing Switches, Routers, and Firewalls
General Network Equipment Audit Steps Additional Switch Controls: Layer 2 Additional Router Controls: Layer 3 Additional Firewall Controls Additional Controls for Wireless Network Gear
Tools and Technology Knowledge Base Master Checklists
Chapter 7 Auditing Windows Servers
Background Windows Auditing Essentials
Command-Line Tips Essential Command-Line Tools Common Commands Server Administration Tools Performing the Audit
Test Steps for Auditing Windows
Initial Steps Account Management Permissions Management Network Security and Controls Security Monitoring and Other General Controls
Tools and Technology Knowledge Base Master Checklist
Chapter 8 Auditing Unix and Linux Operating Systems
Background Unix and Linux Auditing Essentials
Key Concepts File System Layout and Navigation File System Permissions Users and Authentication Network Services
Test Steps for Auditing Unix and Linux
Account Management Permissions Management Network Security and Controls Security Monitoring and Other General Controls
Tools and Technology
Network Vulnerability Scanners NMAP Malware Detection Tools Tools for Validating Password Strength Host-Based Vulnerability Scanners Shell/Awk/etc
Knowledge Base Master Checklists
Chapter 9 Auditing Web Servers and Web Applications
Background Web Auditing Essentials
One Audit with Multiple Components
Part 1: Test Steps for Auditing the Host Operating System Part 2: Test Steps for Auditing Web Servers Part 3: Test Steps for Auditing Web Applications
Additional Steps for Auditing Web Applications
Tools and Technology Knowledge Base Master Checklists
Chapter 10 Auditing Databases
Background Database Auditing Essentials
Common Database Vendors Database Components NoSQL Database Systems
Test Steps for Auditing Databases
Initial Steps Operating System Security Account Management Permissions Management Data Encryption Security Log Monitoring and Management
Tools and Technology
Auditing Tools Monitoring Tools Encryption Tools
Knowledge Base Master Checklist
Chapter 11 Auditing Big Data and Data Repositories
Background Big Data and Data Repository Auditing Essentials Test Steps for Auditing Big Data and Data Repositories Knowledge Base Master Checklist
Chapter 12 Auditing Storage
Background Storage Auditing Essentials
Key Storage Components Key Storage Concepts
Test Steps for Auditing Storage
Initial Steps Account Management Storage Management Encryption and Permissions Management Security Monitoring and Other General Controls
Knowledge Base Master Checklists
Chapter 13 Auditing Virtualized Environments
Background
Commercial and Open-Source Projects
Virtualization Auditing Essentials Test Steps for Auditing Virtualization
Initial Steps Account Management and Resource Provisioning/Deprovisioning Virtual Environment Management Security Monitoring and Additional Security Controls
Knowledge Base
Hypervisors Tools
Master Checklists
Chapter 14 Auditing End-User Computing Devices
Background Part 1: Auditing Windows and Mac Client Systems
Windows and Mac Auditing Essentials Test Steps for Auditing Windows and Mac Client Systems Tools and Technology Knowledge Base
Part 2: Auditing Mobile Devices
Mobile Device Auditing Essentials Test Steps for Auditing Mobile Devices Additional Considerations
Tools and Technology Knowledge Base Master Checklists
Chapter 15 Auditing Applications
Background Application Auditing Essentials Test Steps for Auditing Applications
Input Controls Interface Controls Audit Trails and Security Monitoring Account Management Permissions Management Software Change Controls Backup and Recovery Data Retention and Classification and User Involvement Operating System, Database, and Other Infrastructure Controls
Master Checklists
Chapter 16 Auditing Cloud Computing and Outsourced Operations
Background Cloud Computing and Outsourced Operations Auditing Essentials
IT Systems, Software, and Infrastructure Outsourcing IT Service Outsourcing Other Considerations for IT Service Outsourcing Third-Party Reports and Certifications
Test Steps for Auditing Cloud Computing and Outsourced Operations
Initial Steps Vendor Selection and Contracts Account Management and Data Security Operations and Governance Legal Concerns and Regulatory Compliance
Tools and Technology Knowledge Base Master Checklist
Chapter 17 Auditing Company Projects
Background Project Auditing Essentials
High-Level Goals of a Project Audit Basic Approaches to Project Auditing Waterfall and Agile Software Development Methodologies Seven Major Parts of a Project Audit
Test Steps for Auditing Company Projects
Overall Project Management Project Startup, Requirements Gathering, and Initial Design Detailed Design and System Development Testing Implementation Training Project Wrap-Up
Knowledge Base Master Checklists
Chapter 18 Auditing New/Other Technologies
Background New/Other Technology Auditing Essentials
Generalized Frameworks Best Practices
Test Steps for Auditing New and Other Technologies
Initial Steps Account Management Permissions Management Network Security and Controls Security Monitoring and Other General Controls
Master Checklists
Part III Frameworks, Standards, Regulations, and Risk Management
Chapter 19 Frameworks and Standards
Introduction to Internal IT Controls, Frameworks, and Standards COSO
COSO Definition of Internal Control Key Concepts of Internal Control Internal Control–Integrated Framework Enterprise Risk Management–Integrated Framework Relationship Between Internal Control and Enterprise Risk Management Publications
IT Governance
IT Governance Maturity Model
COBIT ITIL
ITIL Concepts
ISO 27001
ISO 27001 Concepts
NIST Cyber Security Framework NSA INFOSEC Assessment Methodology
NSA INFOSEC Assessment Methodology Concepts Pre-assessment Phase Onsite Activities Phase Post-assessment Phase
Frameworks and Standards Trends
Knowledge Base
Chapter 20 Regulations
An Introduction to Legislation Related to Internal Controls
Regulatory Impact on IT Audits History of Corporate Financial Regulation
The Sarbanes-Oxley Act of 2002
SOX’s Impact on Public Corporations Core Points of the SOX Act SOX’s Impact on IT Departments SOX Considerations for Companies with Multiple Locations Impact of Third-Party Services on SOX Compliance Specific IT Controls Required for SOX Compliance The Financial Impact of SOX Compliance on Companies
Gramm-Leach-Bliley Act
GLBA Requirements Federal Financial Institutions Examination Council
General Data Protection Regulation Additional Privacy Regulations
California Security Breach Information Act (SB 1386) California Consumer Privacy Act Canadian Personal Information Protection and Electronic Documentation Act Privacy Law Trends
Health Insurance Portability and Accountability Act
HIPAA Privacy and Security Rules The HITECH Act HIPAA’s Impact on Covered Entities
EU Commission and Basel II
Basel II Capital Accord
Payment Card Industry Data Security Standard
PCI Impact on the Payment Card Industry
Other Regulatory Trends
Knowledge Base
Chapter 21 Risk Management
Benefits of Risk Management Risk Management from an Executive Perspective
Quantitative vs. Qualitative Risk Analysis
Quantitative Risk Analysis
Elements of Risk Practical Application Addressing Risk Common Causes for Inaccuracies Quantitative Risk Analysis in Practice
Qualitative Risk Analysis IT Risk Management Life Cycle
Phase 1: Identify Information Assets Phase 2: Quantify and Qualify Threats Phase 3: Assess Vulnerabilities Phase 4: Remediate Control Gaps Phase 5: Manage Residual Risk
Third-Party Risk
Risk Identification Risk Assessment Remediation Monitoring and Reporting
Summary of Formulas
Knowledge Base
Index
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