+Malicious Code Protection (Antimalware)
---+Always On Antimalware Protection
---+Heuristic / Nonsignature-Based Malware Detection
|
Malicious Code Protection (Antimalware)
Description
Mechanisms exist to utilize antimalware, or similar technologies, to detect and eradicate malicious code.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Antimalware software
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Antimalware software
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Antimalware software
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ Antimalware software
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Antimalware software
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
Endpoint Security (END) domain capabilities are ad hoc and inconsistent. Capability criteria associated with this control may include:
▪ Policies, standards & procedures associated with END domain capabilities provide limited coverage due to the depth and breadth of the existing documentation.
▪ Endpoint security management-related activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure, resilient and compliant practices.
▪ Anti-malware technologies are decentralized but are deployed on all technology assets that can run anti-malware software.
Level 2 Planned Tracked
Endpoint Security (END) 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 END domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with END 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 END domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Endpoint security-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ Endpoint security management may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel.
▪ Anti-malware technologies are centralized, deployed on all technology assets that can run anti-malware software.
▪ Anti-malware technologies are configured to generate event logs that can be centrally-reviewed (e.g., forwarded to a SIEM).
▪ Anti-malware detection tools are configured to provide real-time protection (e.g., always on).
▪ Anti-malware detection tools are configured to automatically update.
Level 3 Well Defined
Endpoint Security (END) 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 END domain capabilities are formally documented and centrally-managed by the entity's Governance, Risk & Compliance (GRC) team, or similar function.
▪ Standardized Operating Procedures (SOP) associated with END domain capabilities are well-documented and kept current by process owners.
▪ An endpoint technology management team, or similar function, is appropriately staffed and supported to implement and maintain END domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of endpoint security operations (e.g., unified endpoint management solution).
▪ 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 END 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).
▪ An implemented and operational capability exists to utilize antimalware technologies to detect and eradicate malicious code.
Level 4 Quantitatively Controlled
Endpoint Security (END) capabilities, in addition to being standardized across the entity and centrally managed to ensure consistency across Technology Assets, Applications, Services and/or Data (TAASD), efforts are metrics driven to provide sufficient insight for decision makers to predict optimal performance, ensure continued operations and/or identify areas for improvement. Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Applicable SCR-CMM Level 3 (Well Defined) capabilities are implemented and operational.
▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs).
▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs).
▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity and data protection controls, including functions performed by third-parties.
▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review).
▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes.
▪ Business and technical stakeholders are involved in reviewing and approving proposed changes to evolve capabilities.
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. Übersicht
| Bezeichnung |
Standard |
|
Always On Antimalware Protection
|
Description
Mechanisms exist to ensure unless specifically authorized by management on a case-by-case basis for a limited time period that anti-malware technologies:
(1) Are continuously running in real-time; and
(2) Cannot be disabled or altered by non-privileged users.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Antimalware software
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Antimalware software
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Antimalware software
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ Antimalware software
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Antimalware software
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
Endpoint Security (END) domain capabilities are ad hoc and inconsistent. Capability criteria associated with this control may include:
▪ Policies, standards & procedures associated with END domain capabilities provide limited coverage due to the depth and breadth of the existing documentation.
▪ Endpoint security management-related activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure, resilient and compliant practices.
Level 2 Planned Tracked
Endpoint Security (END) 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 END domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with END 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 END domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Endpoint security-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ Endpoint security management may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel.
▪ Anti-malware technologies are centralized, deployed on all technology assets that can run anti-malware software.
▪ Anti-malware technologies are configured to generate event logs that can be centrally-reviewed (e.g., forwarded to a SIEM).
▪ Anti-malware detection tools are configured to provide real-time protection (e.g., always on).
Level 3 Well Defined
Endpoint Security (END) 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 END domain capabilities are formally documented and centrally-managed by the entity's Governance, Risk & Compliance (GRC) team, or similar function.
▪ Standardized Operating Procedures (SOP) associated with END domain capabilities are well-documented and kept current by process owners.
▪ An endpoint technology management team, or similar function, is appropriately staffed and supported to implement and maintain END domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of endpoint security operations (e.g., unified endpoint management solution).
▪ 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 END 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).
▪ An implemented and operational capability exists to ensure that anti-malware technologies are continuously running in real-time and cannot be disabled or altered by non-privileged users, unless specifically authorized by management on a case-by-case basis for a limited time period.
Level 4 Quantitatively Controlled
Endpoint Security (END) capabilities, in addition to being standardized across the entity and centrally managed to ensure consistency across Technology Assets, Applications, Services and/or Data (TAASD), efforts are metrics driven to provide sufficient insight for decision makers to predict optimal performance, ensure continued operations and/or identify areas for improvement. Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Applicable SCR-CMM Level 3 (Well Defined) capabilities are implemented and operational.
▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs).
▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs).
▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity and data protection controls, including functions performed by third-parties.
▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review).
▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes.
▪ Business and technical stakeholders are involved in reviewing and approving proposed changes to evolve capabilities.
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.
|
|
Heuristic / Nonsignature-Based Malware Detection
|
Description
Mechanisms exist to utilize heuristic / nonsignature-based antimalware detection capabilities.
Possible Solutions & Considerations
Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2
∙ Antimalware software
Small Business (10-49 staff) / BLS Firm Size Classes 3-4
∙ Antimalware software
Medium Business (50-249 staff) / BLS Firm Size Classes 5-6
∙ Antimalware software
Large Business (250-999 staff) / BLS Firm Size Classes 7-8
∙ Antimalware software
Enterprise (> 1,000 staff) / BLS Firm Size Class 9
∙ Antimalware software
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
Endpoint Security (END) domain capabilities are ad hoc and inconsistent. Capability criteria associated with this control may include:
▪ Policies, standards & procedures associated with END domain capabilities provide limited coverage due to the depth and breadth of the existing documentation.
▪ Endpoint security management-related activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure, resilient and compliant practices.
Level 2 Planned Tracked
Endpoint Security (END) 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 END domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with END 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 END domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Endpoint security-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines).
▪ Endpoint security management 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
Endpoint Security (END) 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 END domain capabilities are formally documented and centrally-managed by the entity's Governance, Risk & Compliance (GRC) team, or similar function.
▪ Standardized Operating Procedures (SOP) associated with END domain capabilities are well-documented and kept current by process owners.
▪ An endpoint technology management team, or similar function, is appropriately staffed and supported to implement and maintain END domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of endpoint security operations (e.g., unified endpoint management solution).
▪ 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 END 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).
▪ An implemented and operational capability exists to utilize heuristic / nonsignature-based antimalware detection capabilities.
Level 4 Quantitatively Controlled
Endpoint Security (END) capabilities, in addition to being standardized across the entity and centrally managed to ensure consistency across Technology Assets, Applications, Services and/or Data (TAASD), efforts are metrics driven to provide sufficient insight for decision makers to predict optimal performance, ensure continued operations and/or identify areas for improvement. Capability criteria associated with this control reasonably expect the following criteria to exist:
▪ Applicable SCR-CMM Level 3 (Well Defined) capabilities are implemented and operational.
▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs).
▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs).
▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity and data protection controls, including functions performed by third-parties.
▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review).
▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes.
▪ Business and technical stakeholders are involved in reviewing and approving proposed changes to evolve capabilities.
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.
|
1.1 Referenzen
1.2 Identifizierte Anforderungen
1.3 Zugehörige Regulierungen
2. Identifizierte Anforderungen
Anforderungen
| Quelle |
Anforderung |
3. Zugehörige Regulierungen
Regulierungen
| Quelle |
Regulierung |
|
EULAW
|
Artikel 11 Daten- und Systemsicherheit
-
|
|
EULAW
|
Artikel 34 IKT-Betriebssicherheit
Artikel 34
Die in Artikel 16 Absatz 1 der Verordnung (EU) 2022/2554 genannten Finanzunternehmen müssen im Rahmen ihrer Systeme, Protokolle und Tools sowie bei allen IKT-Assets
a)
den Lebenszyklus aller IKT-Assets überwachen und managen;
b)
überwachen, ob die IKT-Assets von IKT-Drittdienstleistern der Finanzunternehmen unterstützt werden, sofern anwendbar;
c)
die Kapazitätsanforderungen ihrer IKT-Assets und Maßnahmen ermitteln, um die Verfügbarkeit und Effizienz der IKT-Systeme zu wahren und zu verbessern und IKT-Kapazitätsengpässen vorzubeugen, bevor sie auftreten;
d)
eine automatisierte Schwachstellensuche sowie Bewertungen der IKT-Assets durchführen, die der in Artikel 30 Absatz 1 genannten Klassifizierung und dem Gesamtrisikoprofil des betreffenden IKT-Assets angemessen sind, und Patches zur Behebung ermittelter Schwachstellen installieren;
e)
die mit veralteten oder nicht unterstützten IKT-Assets oder mit IKT-Altsystemen verbundenen Risiken managen;
f)
Vorfälle im Zusammenhang mit der logischen und physischen Zugangskontrolle, dem IKT-Betrieb, einschließlich System- und Netzwerkverkehr, sowie dem IKT-Änderungsmanagement protokollieren;
g)
Maßnahmen ermitteln und umsetzen, um Informationen über anomale Aktivitäten und anomales Verhalten bei kritischen oder wichtigen IKT-Vorgängen zu überwachen und zu analysieren;
h)
Maßnahmen zur Überwachung relevanter und aktueller Informationen über Cyberbedrohungen umsetzen;
i)
Maßnahmen zur Erkennung etwaiger Informationslecks, Schadcodes und anderer Sicherheitsbedrohungen sowie öffentlich bekannter Schwachstellen in Software und Hardware umsetzen und die Verfügbarkeit entsprechender neuer Sicherheitsupdates prüfen.
Für die Zwecke von Buchstabe f stimmen die Finanzunternehmen den Detaillierungsgrad der Protokolle auf deren Zweck und auf die Nutzung des IKT-Assets ab, der diese Protokolle produziert.
|
Verknüpfte Vorgänge
- Secure Controls Framework -
EN: GRCA includes the Secure Controls Framework® (SCF) content, © Secure Controls Framework Council, LLC, used under the Creative Commons Attribution-NoDerivatives 4.0 International Public License. SCF control numbers, names, descriptions and mappings appear exactly as published by the SCF Council – https://securecontrolsframework.com. GRCA may group or reorder SCF content for display, which does not change SCF content; the mappings are shown as links to the frameworks they name. Learn more at https://securecontrolsframework.com.
DE: GRCA enthält Inhalte des Secure Controls Framework® (SCF), © Secure Controls Framework Council, LLC, genutzt unter der Creative Commons Attribution-NoDerivatives 4.0 International Public License. Nummern, Namen, Beschreibungen und Zuordnungen der SCF-Controls erscheinen genau so, wie der SCF Council sie veröffentlicht – https://securecontrolsframework.com. GRCA gruppiert oder sortiert SCF-Inhalte für die Anzeige, ohne sie zu verändern; die Zuordnungen erscheinen als Verknüpfungen zu den genannten Regelwerken. Mehr unter https://securecontrolsframework.com.
|