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Certified Information Systems Auditor

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Total Questions : 1195

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Question # 1

Which of the following BEST enables an IS auditor to combine and compare access control lists from various applications and devices?

Options:

A.  

Integrated test facility (ITF)

B.  

Snapshots

C.  

Data analytics

D.  

Audit hooks

Discussion 0
Question # 2

Which of the following is the BEST recommendation to drive accountability for achieving the desired outcomes specified in a benefits realization plan for an IT project?

Options:

A.  

Document the dependencies between the project and other projects within the same program.

B.  

Ensure that IT takes ownership for the delivery and tracking of all aspects of the benefits realization plan.

C.  

Ensure that the project manager has formal authority for managing the benefits realization plan.

D.  

Assign responsibilities, measures, and timelines for each identified benefit within the plan.

Discussion 0
Question # 3

Which of the following network communication protocols is used by network devices such as routers to send error messages and operational information indicating success or failure when communicating with another IP address?

Options:

A.  

Transmission Control Protocol/Internet Protocol (TCP/IP)

B.  

Internet Control Message Protocol

C.  

Multipurpose Transaction Protocol

D.  

Point-to-Point Tunneling Protocol

Discussion 0
Question # 4

Which of the following is an IS auditor's BEST recommendation to mitigate the risk of eavesdropping associated with an application programming interface (API) integration implementation?

Options:

A.  

Encrypt the extensible markup language (XML) file.

B.  

Implement Transport Layer Security (TLS).

C.  

Mask the API endpoints.

D.  

Implement Simple Object Access Protocol (SOAP).

Discussion 0
Question # 5

An organization requires the use of a key card to enter its data center. Recently, a control was implemented that requires biometric authentication for each employee. Which type of control has

been added?

Options:

A.  

Detective

B.  

Preventive

C.  

Compensating

D.  

Corrective

Discussion 0
Question # 6

During the planning phase of a data loss prevention (DLP) audit, management expresses a concern about mobile computing. Which of the following should the IS auditor identify as the

associated risk?

Options:

A.  

Increased vulnerability due to anytime, anywhere accessibility

B.  

Increased need for user awareness training

C.  

The use of the cloud negatively impacting IT availability

D.  

Lack of governance and oversight for IT infrastructure and applications

Discussion 0
Question # 7

A global bank plans to use a cloud provider for backup of customer financial data. Which of the following should be the PRIMARY focus of this project?

Options:

A.  

Backup testing schedule

B.  

Data retention policy

C.  

Transfer frequency

D.  

Data confidentiality

Discussion 0
Question # 8

Which of the following is the GREATEST impact as a result of the ongoing deterioration of a detective control?

Options:

A.  

Decreased effectiveness of root cause analysis

B.  

Decreased overall recovery time

C.  

Increased number of false negatives in security logs

D.  

Increased demand for storage space for logs

Discussion 0
Question # 9

Which of the following is found in an audit charter?

Options:

A.  

The process of developing the annual audit plan

B.  

The authority given to the audit function

C.  

Required training for audit staff

D.  

Audit objectives and scope

Discussion 0
Question # 10

Which of the following should be done FIRST when creating a data protection program?

Options:

A.  

Implement data loss prevention (DLP) controls.

B.  

Perform classification based on standards.

C.  

Deploy intrusion detection systems (IDS).

D.  

Test logical access controls for effectiveness.

Discussion 0
Question # 11

An IS auditor is reviewing an organization that performs backups on local database servers every two weeks and does not have a formal policy to govern data backup and restoration procedures. Which of the following findings presents the GREATEST risk to the organization?

Options:

A.  

Lack of offsite data backups

B.  

Absence of a data backup policy

C.  

Lack of periodic data restoration testing

D.  

Insufficient data backup frequency

Discussion 0
Question # 12

The PRIMARY goal of capacity management is to:

Options:

A.  

minimize data storage needs across the organization.

B.  

provide necessary IT resources to meet business requirements.

C.  

minimize system idle time to optimize cost.

D.  

ensure that IT teams have sufficient personnel.

Discussion 0
Question # 13

An IS auditor wants to gain a better understanding of an organization’s selected IT operating system software. Which of the following would be MOST helpful to review?

Options:

A.  

Service level agreements (SLAs)

B.  

Project steering committee charter

C.  

IT audit reports

D.  

Enterprise architecture (EA)

Discussion 0
Question # 14

Which of the following findings related to segregation of duties should be of GREATEST concern to an IS auditor?

Options:

A.  

The person who tests source code also approves changes.

B.  

The person who administers servers is also part of the infrastructure management team.

C.  

The person who creates new user accounts also modifies user access levels.

D.  

The person who edits source code also has write access to production.

Discussion 0
Question # 15

At the end of each business day, a business-critical application generates a report of financial transac-tions greater than a certain value, and an employee

then checks these transactions for errors. What type of control is in place?

Options:

A.  

Detective

B.  

Preventive

C.  

Corrective

D.  

Deterrent

Discussion 0
Question # 16

A small organization is experiencing rapid growth and plans to create a new information security policy. Which of the following is MOST relevant to creating the policy?

Options:

A.  

Business objectives

B.  

Business impact analysis (BIA)

C.  

Enterprise architecture (EA)

D.  

Recent incident trends

Discussion 0
Question # 17

During an information security review, an IS auditor learns an organizational policy requires all employ-ees to attend information security training during the first week of each new year. What is

the auditor's BEST recommendation to ensure employees hired after January receive adequate guid-ance regarding security awareness?

Options:

A.  

Ensure new employees read and sign acknowledgment of the acceptable use policy.

B.  

Revise the policy to include security training during onboarding.

C.  

Revise the policy to require security training every six months for all employees.

D.  

Require management of new employees to provide an overview of security awareness.

Discussion 0
Question # 18

Which of the following staff should an IS auditor interview FIRST to obtain a general overview of the various technologies used across different programs?

Options:

A.  

Technical architect

B.  

Enterprise architect

C.  

Program manager

D.  

Solution architect

Discussion 0
Question # 19

When an intrusion into an organization's network is detected, which of the following should be done FIRST?

Options:

A.  

Notify senior management.

B.  

Block all compromised network nodes.

C.  

Identify nodes that have been compromised.

D.  

Contact law enforcement.

Discussion 0
Question # 20

Which of the following should be an IS auditor's PRIMARY focus when auditing the implementation of a new IT operations performance monitoring system?

Options:

A.  

Reviewing whether all changes have been implemented

B.  

Validating whether baselines have been established

C.  

Confirming whether multi-factor authentication (MFA) is deployed as part of the operational enhancements

D.  

Determining whether there is a process for annual review of the maintenance manual

Discussion 0
Question # 21

An IS audit manager was temporarily tasked with supervising a project manager assigned to the organization's payroll application upgrade. Upon returning to the audit department, the audit manager has been asked to perform an audit to validate the implementation of the payroll application. The audit manager is the only one in the audit department with IT project management experience. What is the BEST course of action?

Options:

A.  

Transfer the assignment to a different audit manager despite lack of IT project management experience.

B.  

Outsource the audit to independent and qualified resources.

C.  

Manage the audit since there is no one else with the appropriate experience.

D.  

Have a senior IS auditor manage the project with the IS audit manager performing final review.

Discussion 0
Question # 22

Which of the following would be MOST useful to an IS auditor when making recommendations to enable continual improvement of IT processes over time?

Options:

A.  

IT incident log

B.  

Benchmarking studies

C.  

Maturity model

D.  

IT risk register

Discussion 0
Question # 23

An IS auditor is conducting an IT governance audit and notices many initiatives are managed informally by isolated project managers. Which of the following recommendations would have the GREATEST impact on improving the maturity of the IT team?

Options:

A.  

Schedule a follow-up audit in the next year to confirm whether IT processes have matured.

B.  

Create an interdisciplinary IT steering committee to oversee IT prioritization and spending.

C.  

Document and track all IT decisions in a project management tool.

D.  

Discontinue all current IT projects until formal approval is obtained and documented.

Discussion 0
Question # 24

Which of the following poses the GREATEST risk to an organization related to system interfaces?

Options:

A.  

There is no process documentation for some system interfaces.

B.  

Notifications of data transfers through the interfaces are not retained.

C.  

Parts of the data transfer process are performed manually.

D.  

There is no reliable inventory of system interfaces.

Discussion 0
Question # 25

An IS auditor can BEST evaluate the business impact of system failures by:

Options:

A.  

assessing user satisfaction levels.

B.  

interviewing the security administrator.

C.  

analyzing equipment maintenance logs.

D.  

reviewing system-generated logs.

Discussion 0
Question # 26

Which of the following should be of GREATEST concern to an IS auditor assessing the effectiveness of an organization's information security governance?

Options:

A.  

Risk assessments of information assets are not periodically performed.

B.  

All Control Panel Items

C.  

The information security policy does not extend to service providers.

D.  

There is no process to measure information security performance.

E.  

The information security policy is not reviewed by executive management.

Discussion 0
Question # 27

Which of the following would BEST enable an organization to address the security risks associated with a recently implemented bring your own device (BYOD) strategy?

Options:

A.  

Mobile device tracking program

B.  

Mobile device upgrade program

C.  

Mobile device testing program

D.  

Mobile device awareness program

Discussion 0
Question # 28

During an IT general controls audit of a high-risk area where both internal and external audit teams are reviewing the same approach to optimize resources?

Options:

A.  

Leverage the work performed by external audit for the internal audit testing.

B.  

Ensure both the internal and external auditors perform the work simultaneously.

C.  

Request that the external audit team leverage the internal audit work.

D.  

Roll forward the general controls audit to the subsequent audit year.

Discussion 0
Question # 29

Which of the following would MOST effectively help to reduce the number of repealed incidents in an organization?

Options:

A.  

Testing incident response plans with a wide range of scenarios

B.  

Prioritizing incidents after impact assessment.

C.  

Linking incidents to problem management activities

D.  

Training incident management teams on current incident trends

Discussion 0
Question # 30

An IS auditor is reviewing documentation of application systems change control and identifies several patches that were not tested before being put into production. Which of the following is the MOST significant risk from this situation?

Options:

A.  

Loss of application support

B.  

Lack of system integrity

C.  

Outdated system documentation

D.  

Developer access 1o production

Discussion 0
Question # 31

Which of the following features of a library control software package would protect against unauthorized updating of source code?

Options:

A.  

Required approvals at each life cycle step

B.  

Date and time stamping of source and object code

C.  

Access controls for source libraries

D.  

Release-to-release comparison of source code

Discussion 0
Question # 32

An IS auditor reviewing the threat assessment tor a data center would be MOST concerned if:

Options:

A.  

some of the identified throats are unlikely to occur.

B.  

all identified throats relate to external entities.

C.  

the exercise was completed by local management.

D.  

neighboring organizations operations have been included.

Discussion 0
Question # 33

Which of the following is the MOST significant risk that IS auditors are required to consider for each engagement?

Options:

A.  

Process and resource inefficiencies

B.  

Irregularities and illegal acts

C.  

Noncompliance with organizational policies

D.  

Misalignment with business objectives

Discussion 0
Question # 34

What should an IS auditor do FIRST upon discovering that a service provider did not notify its customers of a security breach?

Options:

A.  

Notify law enforcement of the finding.

B.  

Require the third party to notify customers.

C.  

The audit report with a significant finding.

D.  

Notify audit management of the finding.

Discussion 0
Question # 35

Which of the following should an IS auditor ensure is classified at the HIGHEST level of sensitivity?

Options:

A.  

Server room access history

B.  

Emergency change records

C.  

IT security incidents

D.  

Penetration test results

Discussion 0
Question # 36

During an audit of an organization's risk management practices, an IS auditor finds several documented IT risk acceptances have not been renewed in a timely manner after the assigned expiration date When assessing the seventy of this finding, which mitigating factor would MOST significantly minimize the associated impact?

Options:

A.  

There are documented compensating controls over the business processes.

B.  

The risk acceptances were previously reviewed and approved by appropriate senior management

C.  

The business environment has not significantly changed since the risk acceptances were approved.

D.  

The risk acceptances with issues reflect a small percentage of the total population

Discussion 0
Question # 37

Which of the following BEST describes an audit risk?

Options:

A.  

The company is being sued for false accusations.

B.  

The financial report may contain undetected material errors.

C.  

Employees have been misappropriating funds.

D.  

Key employees have not taken vacation for 2 years.

Discussion 0
Question # 38

A credit card company has decided to outsource the printing of customer statements It Is MOST important for the company to verify whether:

Options:

A.  

the provider has alternate service locations.

B.  

the contract includes compensation for deficient service levels.

C.  

the provider's information security controls are aligned with the company's.

D.  

the provider adheres to the company's data retention policies.

Discussion 0
Question # 39

An audit has identified that business units have purchased cloud-based applications without IPs support. What is the GREATEST risk associated with this situation?

Options:

A.  

The applications are not included in business continuity plans (BCFs)

B.  

The applications may not reasonably protect data.

C.  

The application purchases did not follow procurement policy.

D.  

The applications could be modified without advanced notice.

Discussion 0
Question # 40

During a security audit, an IS auditor is tasked with reviewing log entries obtained from an enterprise intrusion prevention system (IPS). Which type of risk would be associated with the potential for the auditor to miss a sequence of logged events that could indicate an error in the IPS configuration?

Options:

A.  

Sampling risk

B.  

Detection risk

C.  

Control risk

D.  

Inherent risk

Discussion 0
Question # 41

An IS auditor discovers that an IT organization serving several business units assigns equal priority to all initiatives, creating a risk of delays in securing project funding Which of the following would be MOST helpful in matching demand for projects and services with available resources in a way that supports business objectives?

Options:

A.  

Project management

B.  

Risk assessment results

C.  

IT governance framework

D.  

Portfolio management

Discussion 0
Question # 42

If enabled within firewall rules, which of the following services would present the GREATEST risk?

Options:

A.  

Simple mail transfer protocol (SMTP)

B.  

Simple object access protocol (SOAP)

C.  

Hypertext transfer protocol (HTTP)

D.  

File transfer protocol (FTP)

Discussion 0
Question # 43

An organization allows its employees lo use personal mobile devices for work. Which of the following would BEST maintain information security without compromising employee privacy?

Options:

A.  

Installing security software on the devices

B.  

Partitioning the work environment from personal space on devices

C.  

Preventing users from adding applications

D.  

Restricting the use of devices for personal purposes during working hours

Discussion 0
Question # 44

The PRIMARY objective of value delivery in reference to IT governance is to:

Options:

A.  

promote best practices

B.  

increase efficiency.

C.  

optimize investments.

D.  

ensure compliance.

Discussion 0
Question # 45

An organization is disposing of a system containing sensitive data and has deleted all files from the hard disk. An IS auditor should be concerned because:

Options:

A.  

deleted data cannot easily be retrieved.

B.  

deleting the files logically does not overwrite the files' physical data.

C.  

backup copies of files were not deleted as well.

D.  

deleting all files separately is not as efficient as formatting the hard disk.

Discussion 0
Question # 46

Which of the following backup schemes is the BEST option when storage media is limited?

Options:

A.  

Real-time backup

B.  

Virtual backup

C.  

Differential backup

D.  

Full backup

Discussion 0
Question # 47

Which of the following IT service management activities is MOST likely to help with identifying the root cause of repeated instances of network latency?

Options:

A.  

Change management

B.  

Problem management

C.  

incident management

D.  

Configuration management

Discussion 0
Question # 48

During the planning phase of a data loss prevention (DLP) audit, management expresses a concern about mobile computing. Which of the following should the IS auditor identity as the associated risk?

Options:

A.  

The use of the cloud negatively impacting IT availably

B.  

Increased need for user awareness training

C.  

Increased vulnerability due to anytime, anywhere accessibility

D.  

Lack of governance and oversight for IT infrastructure and applications

Discussion 0
Question # 49

An IS auditor finds that one employee has unauthorized access to confidential data. The IS auditor's BEST recommendation should be to:

Options:

A.  

reclassify the data to a lower level of confidentiality

B.  

require the business owner to conduct regular access reviews.

C.  

implement a strong password schema for users.

D.  

recommend corrective actions to be taken by the security administrator.

Discussion 0
Question # 50

Which of the following is the GREATEST risk of using a reciprocal site for disaster recovery?

Options:

A.  

Inability to utilize the site when required

B.  

Inability to test the recovery plans onsite

C.  

Equipment compatibility issues at the site

D.  

Mismatched organizational security policies

Discussion 0
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