Which of the following systems-based approaches would a
financial processing company employ to monitor spending
patterns to identify abnormal patterns and report them?
A. A neural network
B. Database management software
C. Management information systems
D. Computer assisted audit techniques
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Answer: A
A neural network will monitor and learn patterns, reporting
exceptions for investigation. Database management software
is a method of storing and retrieving data. Management
information systems provide management statistics but do not
normally have a monitoring and detection function.
Computer-assisted audit techniques detect specific
situations, but are not intended to learn patterns and
detect abnormalities.
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A company has contracted with an external consulting firm to implement a commercial financial system to replace its existing in-house developed system. In reviewing the proposed development approach, which of the following would be of GREATEST concern? A. Acceptance testing is to be managed by users. B. A quality plan is not part of the contracted deliverables. C. Not all business functions will be available on initial implementation. D. Prototyping is being used to confirm that the system meets business requirements.
Which of the following findings would an IS auditor be MOST concerned about when performing an audit of backup and recovery and the offsite storage vault? A. There are three individuals with a key to enter the area. B. Paper documents also are stored in the offsite vault. C. Data files, which are stored in the vault, are synchronized. D. The offsite vault is located in a separate facility.
When evaluating the collective effect of preventive, detective or corrective controls within a process an IS auditor should be aware: A. of the point at which controls are exercised as data flows through the system. B. that only preventive and detective controls are relevant. C. that corrective controls can only be regarded as compensating. D. that classification allows an IS auditor to determine which controls are missing.
The security level of a private key system depends on the number of: A. encryption key bits. B. messages sent. C. keys. D. channels used.
If a database is restored using before-image dumps, where should the process be restarted following an interruption? A. Before the last transaction B. After the last transaction C. The first transaction after the latest checkpoint D. The last transaction before the latest checkpoint
Which of the following controls would provide the GREATEST assurance of database integrity? A. Audit log procedures B. Table link/reference checks C. Query/table access time checks D. Rollback and rollforward database features
Which of the following is a disadvantage of image processing? A. Verifies signatures B. Improves service C. Relatively inexpensive to use D. Reduces deterioration due to handling
The most likely error to occur when implementing a firewall is: A. incorrectly configuring the access lists. B. compromising the passwords due to social engineering. C. connecting a modem to the computers in the network. D. inadequately protecting the network and server from virus attacks.
The feature of a digital signature that ensures the sender cannot later deny generating and sending the message is: A. data integrity. B. authentication. C. nonrepudiation. D. replay protection.
Which of the following is the MOST fundamental step in effectively preventing a virus attack? A. Executing updated antivirus software in the background on a periodic basis B. Buying standard antivirus software, which is installed on all servers and workstations C. Ensuring that all software is checked for a virus in a separate PC before being loaded into the production environment D. Adopting a comprehensive antivirus policy and communicating it to all users
An IS auditor performing a review of the backup processing facilities should be MOST concerned that: A. adequate fire insurance exists. B. regular hardware maintenance is performed. C. offsite storage of transaction and master files exists. D. backup processing facilities are tested fully.
A primary reason for an IS auditor's involvement in the development of a new application system is to ensure that: A. adequate controls are built into the system. B. user requirements are satisfied by the system. C. sufficient hardware is available to process the system. D. data are being developed for pre-implementation testing of the system.