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Certified Information Systems Auditor

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Question # 1

Which of the following is the BEST indication of effective IT investment management?

Options:

A.  

IT investments are implemented and monitored following a system development life cycle (SDLC)

B.  

IT investments are mapped to specific business objectives

C.  

Key performance indicators (KPIs) are defined for each business requiring IT Investment

D.  

The IT Investment budget is significantly below industry benchmarks

Discussion 0
Question # 2

An IS auditor discovers an option in a database that allows the administrator to directly modify any table. This option is necessary to overcome bugs in the software, but is rarely used. Changes to tables are automatically logged. The IS auditor's FIRST action should be to:

Options:

A.  

recommend that the option to directly modify the database be removed immediately.

B.  

recommend that the system require two persons to be involved in modifying the database.

C.  

determine whether the log of changes to the tables is backed up.

D.  

determine whether the audit trail is secured and reviewed.

Discussion 0
Question # 3

Which of the following is the BEST control to prevent the transfer of files to external parties through instant messaging (IM) applications?

Options:

A.  

File level encryption

B.  

File Transfer Protocol (FTP)

C.  

Instant messaging policy

D.  

Application-level firewalls

Discussion 0
Question # 4

During the discussion of a draft audit report. IT management provided suitable evidence fiat a process has been implemented for a control that had been concluded by the IS auditor as Ineffective. Which of the following is the auditor's BEST action?

Options:

A.  

Explain to IT management that the new control will be evaluated during follow-up

B.  

Re-perform the audit before changing the conclusion.

C.  

Change the conclusion based on evidence provided by IT management.

D.  

Add comments about the action taken by IT management in the report.

Discussion 0
Question # 5

During a project assessment, an IS auditor finds that business owners have been removed from the project initiation phase. Which of the following should be the auditor's GREATEST concern with this situation?

Options:

A.  

Unrealistic milestones

B.  

Inadequate deliverables

C.  

Unclear benefits

D.  

Incomplete requirements

Discussion 0
Question # 6

An organization is planning to implement a work-from-home policy that allows users to work remotely as needed. Which of the following is the BEST solution for ensuring secure remote access to corporate resources?

Options:

A.  

Additional firewall rules

B.  

Multi-factor authentication

C.  

Virtual private network (VPN)

D.  

Virtual desktop

Discussion 0
Question # 7

Which of the following is MOST helpful for an IS auditor to review when evaluating an organizations business process that are supported by applications and IT systems?

Options:

A.  

Configuration management database (CMDB)

B.  

Enterprise architecture (EA)

C.  

IT portfolio management

D.  

IT service management

Discussion 0
Question # 8

A bank performed minor changes to the interest calculation computer program. Which of the following techniques would provide the STRONGEST evidence to determine whether the interest calculations are correct?

Options:

A.  

Source code review

B.  

Parallel simulation using audit software

C.  

Manual verification of a sample of the results

D.  

Review of the quality assurance (QA) test results

Discussion 0
Question # 9

An organization has partnered with a third party to transport backup drives to an offsite storage facility. Which of the following is MOST important before sending the drives?

Options:

A.  

Creating a chain of custody to accompany the drive in transit

B.  

Ensuring data protection is aligned with the data classification policy

C.  

Encrypting the drive with strong protection standards

D.  

Ensuring the drive is placed in a tamper-evident mechanism

Discussion 0
Question # 10

Which of the following is the MOST significant risk when an application uses individual end-user accounts to access the underlying database?

Options:

A.  

Multiple connects to the database are used and slow the process_

B.  

User accounts may remain active after a termination.

C.  

Users may be able to circumvent application controls.

D.  

Application may not capture a complete audit trail.

Discussion 0
Question # 11

Who is PRIMARILY responsible for the design of IT controls to meet control objectives?

Options:

A.  

Risk management

B.  

Business management

C.  

IT manager

D.  

Internal auditor

Discussion 0
Question # 12

Which of the following should be of GREATEST concern to an IS auditor reviewing project documentation for a client relationship management (CRM) system migration project?

Options:

A.  

The technical migration is planned for a holiday weekend and end users may not be available.

B.  

Five weeks prior to the target date, there are still numerous defects in the printing functionality.

C.  

A single implementation phase is planned and the legacy system will be immediately decommissioned.

D.  

Employees are concerned that data representation in the new system is completely different from the old system.

Discussion 0
Question # 13

Which of the following would be the GREATEST concern for an IS auditor conducting a pre-implementation review of a data loss prevention (DLP> tool?

Options:

A.  

The tool is implemented in monitor mode rather than block mode.

B.  

Crawlers are used to discover sensitive data.

C.  

Deep packet inspection opens data packets in transit.

D.  

Encryption keys are not centrally managed.

Discussion 0
Question # 14

An organization's business continuity plan (BCP) should be:

Options:

A.  

updated before an independent audit review.

B.  

tested after an intrusion attempt into the organization's hot site.

C.  

tested whenever new applications are implemented.

D.  

updated based on changes to personnel and environments.

Discussion 0
Question # 15

Which of the following practices associated with capacity planning provides the GREATEST assurance that future incidents related to existing server performance will be prevented?

Options:

A.  

Reviewing results from simulated high-demand stress test scenarios

B.  

Performing a root cause analysis for past performance incidents

C.  

Anticipating current service level agreements (SLAs) will remain unchanged

D.  

Duplicating existing disk drive systems to improve redundancy and data storage

Discussion 0
Question # 16

Which of the following is the BEST metric to measure the quality of software developed in an organization?

Options:

A.  

Amount of successfully migrated software changes

B.  

Reduction in the help desk budget

C.  

Number of defects discovered in production

D.  

Increase in quality assurance (QA) activities

Discussion 0
Question # 17

Which of the following is the BEST recommendation by an IS auditor to prevent unauthorized access to Internet of Things (loT) devices'?

Options:

A.  

loT devices should only be accessible from the host network.

B.  

loT devices should log and alert on access attempts.

C.  

IoT devices should require identification and authentication.

D.  

loT devices should monitor the use of device system accounts.

Discussion 0
Question # 18

Which of the following is the MOST important consideration when developing tabletop exercises within a cybersecurity incident response plan?

Options:

A.  

Ensure participants are selected from all cross-functional units in the organization.

B.  

Create exercises that are challenging enough to prove inadequacies in the current incident response plan.

C.  

Ensure the incident response team will have enough distractions to simulate real-life situations.

D.  

Identify the scope and scenarios that are relevant to current threats faced by the organization.

Discussion 0
Question # 19

An organization's IT department and internal IS audit function all report to the chief information officer (CIO). Which of the following is the GREATEST concern associated with this reporting structure?

Options:

A.  

Potential for inaccurate audit findings

B.  

Compromise of IS audit independence

C.  

IS audit resources being shared with other IT functions

D.  

IS audit being isolated from other audit functions

Discussion 0
Question # 20

Which of the following is MOST likely to be a project deliverable of an agile software development methodology?

Options:

A.  

Strictly managed software requirements baselines

B.  

Extensive project documentation

C.  

Automated software programming routines

D.  

Rapidly created working prototypes

Discussion 0
Question # 21

Which of the following technologies has the SMALLEST maximum range for data transmission between devices?

Options:

A.  

Wi-Fi

B.  

Bluetooth

C.  

Long-term evolution (LTE)

D.  

Near-field communication (NFC)

Discussion 0
Question # 22

During a routine internal software licensing review, an IS auditor discovers instances where employees shared license keys to critical pieces of business software. Which of the following would be the auditor's BEST course of action?

Options:

A.  

Recommend the utilization of software licensing monitoring tools

B.  

Recommend the purchase of additional software license keys

C.  

Validate user need for shared software licenses

D.  

Verify whether the licensing agreement allows shared use

Discussion 0
Question # 23

While evaluating the data classification process of an organization, an IS auditor's PRIMARY focus should be on whether:

Options:

A.  

data classifications are automated.

B.  

a data dictionary is maintained.

C.  

data retention requirements are clearly defined.

D.  

data is correctly classified.

Discussion 0
Question # 24

Which of the following is the MOST appropriate indicator of change management effectiveness?

Options:

A.  

Time lag between changes to the configuration and the update of records

B.  

Number of system software changes

C.  

Time lag between changes and updates of documentation materials

D.  

Number of incidents resulting from changes

Discussion 0
Question # 25

As part of the architecture of virtualized environments, in a bare metal or native visualization the hypervisor runs without:

Options:

A.  

a host operating system.

B.  

a guest operating system.

C.  

any applications on the guest operating system.

D.  

any applications on the host operating system.

Discussion 0
Question # 26

Which of the following risk scenarios is BEST addressed by implementing policies and procedures related to full disk encryption?

Options:

A.  

Data leakage as a result of employees leaving to work for competitors

B.  

Noncompliance fines related to storage of regulated information

C.  

Unauthorized logical access to information through an application interface

D.  

Physical theft of media on which information is stored

Discussion 0
Question # 27

Which of the following should an organization do to anticipate the effects of a disaster?

Options:

A.  

Define recovery point objectives (RPO)

B.  

Simulate a disaster recovery

C.  

Develop a business impact analysis (BIA)

D.  

Analyze capability maturity model gaps

Discussion 0
Question # 28

An IS auditor has discovered that a software system still in regular use is years out of date and no longer supported. The auditee has stated that it will take six months until the software is running on the current version. Which of the following is the BEST way to reduce the immediate risk associated with using an unsupported version of the software?

Options:

A.  

Verify all patches have been applied to the software system's outdated version.

B.  

Close all unused ports on the outdated software system.

C.  

Monitor network traffic attempting to reach the outdated software system.

D.  

Segregate the outdated software system from the main network.

Discussion 0
Question # 29

Which of the following BEST minimizes performance degradation of servers used to authenticate users of an e-commerce website?

Options:

A.  

Configure a single server as a primary authentication server and a second server as a secondary authentication server.

B.  

Configure each authentication server as belonging to a cluster of authentication servers.

C.  

Configure each authentication server and ensure that each disk of its RAID is attached to the primary controller.

D.  

Configure each authentication server and ensure that the disks of each server form part of a duplex.

Discussion 0
Question # 30

An organization's security policy mandates that all new employees must receive appropriate security awareness training. Which of the following metrics would BEST assure compliance with this policy?

Options:

A.  

Percentage of new hires that have completed the training.

B.  

Number of new hires who have violated enterprise security policies.

C.  

Number of reported incidents by new hires.

D.  

Percentage of new hires who report incidents

Discussion 0
Question # 31

An IS auditor is reviewing an organization's information asset management process. Which of the following would be of GREATEST concern to the auditor?

Options:

A.  

The process does not require specifying the physical locations of assets.

B.  

Process ownership has not been established.

C.  

The process does not include asset review.

D.  

Identification of asset value is not included in the process.

Discussion 0
Question # 32

During a disaster recovery audit, an IS auditor finds that a business impact analysis (BIA) has not been performed. The auditor should FIRST

Options:

A.  

perform a business impact analysis (BIA).

B.  

issue an intermediate report to management.

C.  

evaluate the impact on current disaster recovery capability.

D.  

conduct additional compliance testing.

Discussion 0
Question # 33

Documentation of workaround processes to keep a business function operational during recovery of IT systems is a core part of a:

Options:

A.  

business impact analysis (BIA).

B.  

threat and risk assessment.

C.  

business continuity plan (BCP).

D.  

disaster recovery plan (DRP).

Discussion 0
Question # 34

An IT balanced scorecard is the MOST effective means of monitoring:

Options:

A.  

governance of enterprise IT.

B.  

control effectiveness.

C.  

return on investment (ROI).

D.  

change management effectiveness.

Discussion 0
Question # 35

While executing follow-up activities, an IS auditor is concerned that management has implemented corrective actions that are different from those originally discussed and agreed with the audit function. In order to resolve the situation, the IS auditor's BEST course of action would be to:

Options:

A.  

re-prioritize the original issue as high risk and escalate to senior management.

B.  

schedule a follow-up audit in the next audit cycle.

C.  

postpone follow-up activities and escalate the alternative controls to senior audit management.

D.  

determine whether the alternative controls sufficiently mitigate the risk.

Discussion 0
Question # 36

A system administrator recently informed the IS auditor about the occurrence of several unsuccessful intrusion attempts from outside the organization. Which of the following is MOST effective in detecting such an intrusion?

Options:

A.  

Periodically reviewing log files

B.  

Configuring the router as a firewall

C.  

Using smart cards with one-time passwords

D.  

Installing biometrics-based authentication

Discussion 0
Question # 37

When auditing the security architecture of an online application, an IS auditor should FIRST review the:

Options:

A.  

firewall standards.

B.  

configuration of the firewall

C.  

firmware version of the firewall

D.  

location of the firewall within the network

Discussion 0
Question # 38

An IS auditor wants to determine who has oversight of staff performing a specific task and is referencing the organization's RACI chart. Which of the following roles within the chart would provide this information?

Options:

A.  

Consulted

B.  

Informed

C.  

Responsible

D.  

Accountable

Discussion 0
Question # 39

An organization has recently acquired and implemented intelligent-agent software for granting loans to customers. During the post-implementation review, which of the following is the MOST important procedure for the IS auditor to perform?

Options:

A.  

Review system and error logs to verify transaction accuracy.

B.  

Review input and output control reports to verify the accuracy of the system decisions.

C.  

Review signed approvals to ensure responsibilities for decisions of the system are well defined.

D.  

Review system documentation to ensure completeness.

Discussion 0
Question # 40

Which of the following would be a result of utilizing a top-down maturity model process?

Options:

A.  

A means of benchmarking the effectiveness of similar processes with peers

B.  

A means of comparing the effectiveness of other processes within the enterprise

C.  

Identification of older, more established processes to ensure timely review

D.  

Identification of processes with the most improvement opportunities

Discussion 0
Question # 41

An IS auditor is evaluating an organization's IT strategy and plans. Which of the following would be of GREATEST concern?

Options:

A.  

There is not a defined IT security policy.

B.  

The business strategy meeting minutes are not distributed.

C.  

IT is not engaged in business strategic planning.

D.  

There is inadequate documentation of IT strategic planning.

Discussion 0
Question # 42

Which of the following should be done FIRST when planning a penetration test?

Options:

A.  

Execute nondisclosure agreements (NDAs).

B.  

Determine reporting requirements for vulnerabilities.

C.  

Define the testing scope.

D.  

Obtain management consent for the testing.

Discussion 0
Question # 43

What is MOST important to verify during an external assessment of network vulnerability?

Options:

A.  

Update of security information event management (SIEM) rules

B.  

Regular review of the network security policy

C.  

Completeness of network asset inventory

D.  

Location of intrusion detection systems (IDS)

Discussion 0
Question # 44

Which of the following findings should be of GREATEST concern to an IS auditor assessing the risk associated with end-user computing (EUC) in an organization?

Options:

A.  

Insufficient processes to track ownership of each EUC application?

B.  

Insufficient processes to lest for version control

C.  

Lack of awareness training for EUC users

D.  

Lack of defined criteria for EUC applications

Discussion 0
Question # 45

Which of the following is MOST important during software license audits?

Options:

A.  

Judgmental sampling

B.  

Substantive testing

C.  

Compliance testing

D.  

Stop-or-go sampling

Discussion 0
Question # 46

One advantage of monetary unit sampling is the fact that

Options:

A.  

results are stated m terms of the frequency of items in error

B.  

it can easily be applied manually when computer resources are not available

C.  

large-value population items are segregated and audited separately

D.  

it increases the likelihood of selecting material items from the population

Discussion 0
Question # 47

Which of the following is me GREATE ST impact as a result of the ongoing deterioration of a detective control?

Options:

A.  

Increased number of false negatives in security logs

B.  

Decreased effectiveness of roof cause analysis

C.  

Decreased overall recovery time

D.  

Increased demand for storage space for logs

Discussion 0
Question # 48

An IS auditor is reviewing an organization's business continuity plan (BCP) following a change in organizational structure with significant impact to business processes. Which of the following findings should be the auditor's GREATEST concern?

Options:

A.  

Key business process end users did not participate in the business impact " analysis (BIA)

B.  

Copies of the BCP have not been distributed to new business unit end users sjnce the reorganization

C.  

A test plan for the BCP has not been completed during the last two years

Discussion 0
Question # 49

The BEST way to prevent fraudulent payments is to implement segregation of duties between the vendor setup and:

Options:

A.  

payment processing.

B.  

payroll processing.

C.  

procurement.

D.  

product registration.

Discussion 0
Question # 50

Which of the following indicates that an internal audit organization is structured to support the independence and clarity of the reporting process?

Options:

A.  

Auditors are responsible for performing operational duties or activities.

B.  

The internal audit manager reports functionally to a senior management official.

C.  

The internal audit manager has a reporting line to the audit committee.

D.  

Auditors are responsible for assessing and operating a system of internal controls.

Discussion 0
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