+Anomalous Behavior
---+Unusual Transactions
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Anomalous Behavior
Description
Mechanisms exist to utilize User & Entity Behavior Analytics (UEBA) and/or User Activity Monitoring (UAM) solutions to detect and respond to anomalous behavior that could indicate account compromise or other malicious activities.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Indicators of Compromise (IoC)
∙ Indicators of Exposure (IoE)
∙ Managed Security Services Provider (MSSP)
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Indicators of Compromise (IoC)
∙ Indicators of Exposure (IoE)
∙ Security Incident Event Manager (SIEM)
∙ Managed Security Services Provider (MSSP)
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Indicators of Compromise (IoC)
∙ Indicators of Exposure (IoE)
∙ Security Incident Event Manager (SIEM)
∙ Extended Detection and Response (XDR)
∙ Managed Security Services Provider (MSSP)
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ Indicators of Compromise (IoC)
∙ Indicators of Exposure (IoE)
∙ Security Incident Event Manager (SIEM)
∙ Extended Detection and Response (XDR)
∙ Managed Security Services Provider (MSSP)
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Indicators of Compromise (IoC)
∙ Indicators of Exposure (IoE)
∙ Security Incident Event Manager (SIEM)
∙ Extended Detection and Response (XDR)
∙ Managed Security Services Provider (MSSP)
SCR-CMM
Level 0 Not Performed
Practices are non-existent, based on the inability to demonstrate an implemented and operational capability. A reasonable person would conclude the control is not being performed.
Level 1 Performed Informally
Continuous Monitoring (MON) domain capabilities are ad hoc and inconsistent. Capability criteria associated with this control may include:
▪ Policies, standards & procedures associated with MON domain capabilities provide limited coverage due to the depth and breadth of the existing documentation.
▪ Event monitoring-related activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure, resilient and compliant practices.
▪ Monitoring is primarily reactive in nature, focused on identifying incidents that occurred.
▪ Event log reviews primarily rely on manual processes to identify anomalous behaviors.
Level 2 Planned Tracked
Continuous Monitoring (MON) capabilities are requirements-driven, but are not standardized across the entity (e.g., local/regional level consistency). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with MON domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with MON domain capabilities are documented and maintained by process owners.
▪ IT and/or cybersecurity personnel work with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with MON domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Continuous monitoring-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ Continuous monitoring may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel.
Level 3 Well Defined
Continuous Monitoring (MON) capabilities are standardized across the entity for applicability to People, Processes, Technologies, Data and/or Facilities (PPTDF) to ensure consistency for Technology Assets, Applications, Services and/or Data (TAASD). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with MON domain capabilities are formally documented and centrally-managed by the entity's Governance, Risk & Compliance (GRC) team, or similar function.
▪ Cybersecurity personnel use a structured process via Standardized Operating Procedures (SOP) to review and analyze logs.
▪ A Security Operations Center (SOC) team, or similar function, is appropriately staffed and supported to implement and maintain MON domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of continuous monitoring operations (e.g., Security Incident Event Manager (SIEM)).
▪ The entity's Governance, Risk & Compliance (GRC) team, or similar function, works with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with MON domain capabilities to address Minimum Compliance Requirements (MCR) (e.g., applicable statutory, regulatory and/or contractual requirements) and Discretionary Security Requirements (DSR) (e.g., entity-required controls).
▪ Secure Baseline Configurations (SBC) enforce security event logging to contain sufficient information to establish necessary details of activity and allow for forensics analysis.
▪ An implemented and operational capability exists to utilize User & Entity Behavior Analytics (UEBA) and/or User Activity Monitoring (UAM) solutions to detect and respond to anomalous behavior that could indicate account compromise or other malicious activities.
Level 4 Quantitatively Controlled
Utilize SCR-CMM Level 3 criteria definitions:
▪ There are no defined Level 4 criteria, since it is reasonable to assume a quantitatively-controlled process is not necessary to operationalize this control.
▪ While it may be possible to develop “metrics-driven” capabilities for this control, the criteria would be organization-specific to define.
Level 5 Continuously Improving
Utilize SCR-CMM Level 3 or Level 4 (if available) criteria definitions:
▪ There are no defined Level 5 criteria, since it is reasonable to assume a continuously-improving process is not necessary to operationalize this control.
▪ Level 5 capabilities should be considered “world-class” where the control builds on Level 4 capabilities, but are continuously improving through Artificial Intelligence (AI) and/or Machine Learning (ML) technologies.
▪ While it may be possible to develop responsive capabilities for this control through the use of AI and/or ML technologies, the criteria would be organization-specific to define.
1. Преглед
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Стандарт |
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Unusual Transactions
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Description
Mechanisms exist to define "normal business activities" to identify anomalous transaction activities that can reduce the opportunity for sending (outbound) and/or receiving (inbound) hostile and/or fraudulent actions.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Indicators of Fraud (IoF) (e.g., fraud "red flags")
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Indicators of Fraud (IoF) (e.g., fraud "red flags")
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Indicators of Fraud (IoF) (e.g., fraud "red flags")
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ Indicators of Fraud (IoF) (e.g., fraud "red flags")
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Indicators of Fraud (IoF) (e.g., fraud "red flags")
SCR-CMM
Level 0 Not Performed
Practices are non-existent, based on the inability to demonstrate an implemented and operational capability. A reasonable person would conclude the control is not being performed.
Level 1 Performed Informally
SCR-CMM Level 1 criteria definitions are not available for this control:
▪ A reasonable person would conclude this control requires a structured process.
▪ At this level of maturity, the "ad hoc" nature of performing a capability informally would indicate the intent of the control is not met due to a lack of consistency and formality.
Level 2 Planned Tracked
Data Classification & Handling (DCH) capabilities are requirements-driven, but are not standardized across the entity (e.g., local/regional level consistency). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with DCH domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with DCH domain capabilities are documented and maintained by process owners.
▪ IT and/or cybersecurity personnel work with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with DCH domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Data classification and handling-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ Data classification and handling management may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel.
▪ A formalized data classification scheme exists to identify categories of data, based on protection requirements from applicable laws, regulations and/or contractual obligations.
Level 3 Well Defined
Continuous Monitoring (MON) capabilities are standardized across the entity for applicability to People, Processes, Technologies, Data and/or Facilities (PPTDF) to ensure consistency for Technology Assets, Applications, Services and/or Data (TAASD). Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Policies and standards associated with MON domain capabilities are formally documented and centrally-managed by the entity's Governance, Risk & Compliance (GRC) team, or similar function.
▪ Cybersecurity personnel use a structured process via Standardized Operating Procedures (SOP) to review and analyze logs.
▪ A Security Operations Center (SOC) team, or similar function, is appropriately staffed and supported to implement and maintain MON domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of continuous monitoring operations (e.g., Security Incident Event Manager (SIEM)).
▪ The entity's Governance, Risk & Compliance (GRC) team, or similar function, works with business stakeholders and process owners to appropriately scope and reasonably implement cybersecurity and data protection controls associated with MON domain capabilities to address Minimum Compliance Requirements (MCR) (e.g., applicable statutory, regulatory and/or contractual requirements) and Discretionary Security Requirements (DSR) (e.g., entity-required controls).
▪ Secure Baseline Configurations (SBC) enforce security event logging to contain sufficient information to establish necessary details of activity and allow for forensics analysis.
▪ An implemented and operational capability exists to establish organization-defined "normal business activities" to identify anomalous transaction activities that can reduce the opportunity for sending (outbound) and/or receiving (inbound) fraudulent actions.
Level 4 Quantitatively Controlled
Utilize SCR-CMM Level 3 criteria definitions:
▪ There are no defined Level 4 criteria, since it is reasonable to assume a quantitatively-controlled process is not necessary to operationalize this control.
▪ While it may be possible to develop “metrics-driven” capabilities for this control, the criteria would be organization-specific to define.
Level 5 Continuously Improving
Utilize SCR-CMM Level 3 or Level 4 (if available) criteria definitions:
▪ There are no defined Level 5 criteria, since it is reasonable to assume a continuously-improving process is not necessary to operationalize this control.
▪ Level 5 capabilities should be considered “world-class” where the control builds on Level 4 capabilities, but are continuously improving through Artificial Intelligence (AI) and/or Machine Learning (ML) technologies.
▪ While it may be possible to develop responsive capabilities for this control through the use of AI and/or ML technologies, the criteria would be organization-specific to define.
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1.1 Препратки
1.2 Идентифицирани изисквания
1.3 Свързани регулации
2. Идентифицирани изисквания
Изисквания
| Източник |
Изискване |
3. Свързани регулации
Регулации
| Източник |
Регулация |
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EULAW
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Article 10 1
1. Financial entities shall have in place mechanisms to promptly detect anomalous activities, in accordance with Article 17, including ICT network performance issues and ICT-related incidents, and to identify potential material single points of failure.
All detection mechanisms referred to in the first subparagraph shall be regularly tested in accordance with Article 25.
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EULAW
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Член 22 Политика за управление на инцидентите с ИКТ
Член 22
Политика за управление на инцидентите с ИКТ
Като част от механизмите за откриване на необичайни дейности, включително проблеми с функционирането на мрежата на ИКТ и инциденти с ИКТ, финансовите субекти разработват, документират и прилагат политика за инциденти с ИКТ, чрез която те:
а)
документират процесът за управление на инциденти с ИКТ, посочен в член 17 от Регламент (ЕС) 2022/2554;
б)
създават списък с подходящи контакти с вътрешни функции и външни заинтересовани страни, които са пряко ангажирани в сигурността на основаните на ИКТ операции, включително относно:
i)
откриването и наблюдението на киберзаплахи;
ii)
откриването на необичайни дейности;
iii)
управлението на уязвими места;
в)
създават, прилагат и управляват технически, организационни и оперативни механизми в подкрепа на процеса на управление на инциденти с ИКТ, включително механизми, позволяващи бързо откриване на необичайни дейности и поведения в съответствие с член 23 от настоящия регламент;
▼C1
г)
съхраняват всички доказателства, свързани с инциденти с ИКТ, за срок, който е не по-дълъг от необходимия за целите, за които се събират данните, съизмерим с критичната значимост на засегнатите работни функции, поддържащи процеси, активи на ИКТ и информационни активи, в съответствие с член 8, параграф 2 от Делегиран регламент (ЕС) 2024/1772 на Комисията (
2
) и с всички приложими изисквания за съхранение съгласно правото на Съюза;
▼B
д)
създават и прилагат механизми за анализиране на значими или повтарящи се инциденти с ИКТ и на модели при броя и възникването на инциденти с ИКТ.
За целите на буква г) финансовите субекти съхраняват посочените в същата буква доказателства по сигурен начин.
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EULAW
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Член 23 Откриване на необичайни дейности и критерии за процесите за откриване на инциденти с ИКТ и за реакция
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EULAW
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Член 23 Откриване на необичайни дейности и критерии за процесите за откриване на инциденти с ИКТ и за реакция
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EULAW
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Член 34 Сигурност на основаните на ИКТ операции
Член 34
Сигурност на основаните на ИКТ операции
Финансовите субекти, посочени в член 16, параграф 1 от Регламент (ЕС) 2022/2554, като част от своите системи, протоколи и инструменти и във връзка с всички активи на ИКТ:
а)
наблюдават и управляват жизнения цикъл на всички активи на ИКТ;
б)
наблюдават дали активите на ИКТ са поддържани от трети страни доставчици на услуги в областта на ИКТ на финансови субекти, когато е приложимо;
в)
идентифицират изискванията във връзка с капацитета на своите активи на ИКТ, както и мерки за поддържане и подобряване на наличността и ефикасността на системите на ИКТ, и предотвратяват недостига на капацитет, преди такъв да настъпи;
г)
извършват автоматизирано сканиране за уязвими места, както и оценки на активите на ИКТ, съизмерими с тяхната класификация, посочена в член 30, параграф 1, и с цялостния рисков профил на активите на ИКТ, и внедряват корекции за отстраняване на установените уязвими места;
д)
управляват рисковете, свързани с остарели, неподдържани или наследени активи на ИКТ;
е)
регистрират събития, свързани с контрол на логическия и физическия достъп, основани на ИКТ операции, включително дейности по системен и мрежови пренос и управление на промените в областта на ИКТ;
ж)
идентифицират и прилагат мерки за наблюдение и анализ на информация за необичайни дейности и поведение във връзка с критични или важни основани на ИКТ операции;
з)
прилагат мерки за наблюдение на подходяща и актуална информация за киберзаплахи;
и)
прилагат мерки за идентифициране на възможни изтичания на информация, злонамерен код и други заплахи за сигурността и публично известни уязвими места в софтуера и хардуера и проверяват за съответните нови актуализации във връзка със сигурността.
За целите на буква е) финансовите субекти привеждат в съответствие нивото на детайлност на регистрационните файлове с целта и употребата на своя актив на ИКТ, за който се създават тези регистрационни файлове.
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EULAW
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Член 10 Откриване
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Свързани задачи
- Secure Controls Framework -
"The SCF is the Common Controls Framework™ (CCF), the world's most comprehensive cybersecurity and data privacy metaframework - it is also free to use. The entire concept is building secure, compliant and resilient capabilities in the most efficient and cost-effective manner possible.
The SCF is more than just a unified control catalog, since its included content creates a playbook for Governance, Risk & Compliance (GRC) capabilities. Used globally by organizations of every size, the SCF is a robust and scalable solution for security, compliance and resilience controls. As a comprehensive security framework, the SCF maps 1,400+ controls across 200+ laws, regulations, and industry frameworks so you can implement once and comply everywhere.
Like it or not, cybersecurity is a protracted war on an asymmetric battlefield, where the threats are everywhere and as defenders we have to make the effort to work together to help improve cybersecurity and data privacy practices, since we all suffer when massive data breaches occur or when cyber attacks have physical impacts. Hackers share information on attack methods with other hackers, so why shouldn’t the good guys share information on how to best protect an organization? We decided to take action and make a difference, since we feel it is too important to wait for someone else to fix the problems that exist.
The SCF is made up of volunteers, mainly specialists within the cybersecurity profession, who focus on GRC and the cybersecurity side of data privacy. These are auditors, engineers, architects, incident responders, consultants and other specialists who live and breathe these topics on a daily basis. The end product is "expert-derived content" that makes up the SCF." https://securecontrolsframework.com/
Terms & Conditions
The SCF End User License Agreement (EULA) governs the use of the Secure Controls Framework® (SCF) under the Creative Commons Attribution-No Derivatives 4.0 International Public License.
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