+Identification & Authentication for Organizational Users
---+Out-of-Band Authentication (OOBA)
---+Acceptance of PIV Credentials

Identification & Authentication for Organizational Users

Description

Mechanisms exist to uniquely identify and centrally Authenticate, Authorize and Audit (AAA) organizational users and processes acting on behalf of organizational users.

Possible Solutions & Considerations

Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2

∙ Microsoft Active Directory (https://microsoft.com)
∙ Microsoft Entra (https://microsoft.com)
∙ AWS IAM (https://aws.amazon.com)

Small Business (10-49 staff) / BLS Firm Size Classes 3-4

∙ Microsoft Active Directory (https://microsoft.com)
∙ Microsoft Entra (https://microsoft.com)
∙ AWS IAM (https://aws.amazon.com)

Medium Business (50-249 staff) / BLS Firm Size Classes 5-6

∙ Microsoft Active Directory (https://microsoft.com)
∙ Microsoft Entra (https://microsoft.com)
∙ AWS IAM (https://aws.amazon.com)

Large Business (250-999 staff) / BLS Firm Size Classes 7-8

∙ Microsoft Active Directory (https://microsoft.com)
∙ Microsoft Entra (https://microsoft.com)
∙ AWS IAM (https://aws.amazon.com)

Enterprise (> 1,000 staff) / BLS Firm Size Class 9

∙ Microsoft Active Directory (https://microsoft.com)
∙ Microsoft Entra (https://microsoft.com)
∙ AWS IAM (https://aws.amazon.com)

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

Identification & Authentication (IAC) domain capabilities are ad hoc and inconsistent. Capability criteria associated with this control may include:
▪ Policies, standards & procedures associated with IAC domain capabilities provide limited coverage due to the depth and breadth of the existing documentation.
▪ Identity & Access Management (IAM)-related activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure, resilient and compliant practices.
▪ IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.
▪ IT and/or cybersecurity personnel identify and implement IAM cybersecurity and data protection controls that are appropriate to address applicable statutory, regulatory and contractual requirements.
▪ Active Directory (AD), or a similar technologies, are used to centrally manage identities and permissions, but asset/process owners are authorized to operate a decentralized access control program for their specific Technology Assets, Applications, Services and/or Data (TAASD).

Level 2 Planned Tracked

Identification & Authentication (IAC) 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 IAC domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with IAC 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 IAC domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Identity & Access Management (IAM)-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines) to enforce Logical Access Control (LAC).
▪ IAM may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel to implement Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts.
▪ A directory services technology is used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific Technology Assets, Applications and/or Services (TAAS) that cannot be integrated into directory services.
▪ Configuration management and IAM functions collaborate to ensure Secure Baseline Configurations (SBC) enforce “least privileges” on TAAS.

Level 3 Well Defined

Identification & Authentication (IAC) 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 IAC 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 IAC domain capabilities are well-documented and kept current by process owners.
▪ An Identity & Access Management (IAM) team, or similar function, is appropriately staffed and supported to implement and maintain IAC domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of IAM operations (e.g., directory services, Authenticate, Authorize and Audit (AAA) 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 IAC 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 uniquely identify and centrally Authenticate, Authorize and Audit (AAA) organizational users and processes acting on behalf of organizational users.

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. Επισκόπηση

Out-of-Band Authentication (OOBA)

Description

Mechanisms exist to implement Out-of-Band Authentication (OOBA) under specific conditions.

Possible Solutions & Considerations

Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2

∙ Secure Baseline Configurations (SBC)

Small Business (10-49 staff) / BLS Firm Size Classes 3-4

∙ Secure Baseline Configurations (SBC)

Medium Business (50-249 staff) / BLS Firm Size Classes 5-6

∙ Secure Baseline Configurations (SBC)
∙ Identity & Access Management (IAM) program

Large Business (250-999 staff) / BLS Firm Size Classes 7-8

∙ Secure Baseline Configurations (SBC)
∙ Identity & Access Management (IAM) program

Enterprise (> 1,000 staff) / BLS Firm Size Class 9

∙ Secure Baseline Configurations (SBC)
∙ Identity & Access Management (IAM) program

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

SCR-CMM Level 2 criteria definitions are not available for this control:
▪ A reasonable person would conclude a well-defined and standardized process is required.
▪ At this level of maturity, the “requirements-driven” nature of performing the control is focused on a localized and/or regionalized implementation, not uniform and consistent across the organization.
▪ Requirements are narrowly scoped for applicability and are primarily derived from compliance obligations (e.g., laws, regulations and contracts).

Level 3 Well Defined

Identification & Authentication (IAC) 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 IAC 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 IAC domain capabilities are well-documented and kept current by process owners.
▪ An Identity & Access Management (IAM) team, or similar function, is appropriately staffed and supported to implement and maintain IAC domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of IAM operations (e.g., directory services, Authenticate, Authorize and Audit (AAA) 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 IAC 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 implement Out-of-Band Authentication (OOBA) under specific conditions.

Level 4 Quantitatively Controlled

Identification & Authentication (IAC) 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.
Acceptance of PIV Credentials

Description

Mechanisms exist to accept and electronically verify organizational Personal Identity Verification (PIV) credentials.

Possible Solutions & Considerations

Micro-Small Business (<10 staff) / BLS Firm Size Classes 1-2

∙ Secure Baseline Configurations (SBC)

Small Business (10-49 staff) / BLS Firm Size Classes 3-4

∙ Secure Baseline Configurations (SBC)

Medium Business (50-249 staff) / BLS Firm Size Classes 5-6

∙ Secure Baseline Configurations (SBC)
∙ Identity & Access Management (IAM) program

Large Business (250-999 staff) / BLS Firm Size Classes 7-8

∙ Secure Baseline Configurations (SBC)
∙ Identity & Access Management (IAM) program

Enterprise (> 1,000 staff) / BLS Firm Size Class 9

∙ Secure Baseline Configurations (SBC)
∙ Identity & Access Management (IAM) program

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

Identification & Authentication (IAC) 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 IAC domain capabilities are formally documented and centrally-managed by the entity.
▪ Standardized Operating Procedures (SOP) associated with IAC 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 IAC domain capabilities to address applicable statutory, regulatory and/or contractual requirements for Technology Assets, Applications, Services and/or Data (TAASD).
▪ Identity & Access Management (IAM)-related controls are primarily administrative and preventative in nature (e.g., policies, standards and procedures & guidelines) to enforce Logical Access Control (LAC).
▪ IAM may be a defined function (e.g., team or department) or assigned as an additional duty to existing IT and/or cybersecurity personnel to implement Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts.
▪ A directory services technology is used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific Technology Assets, Applications and/or Services (TAAS) that cannot be integrated into directory services.
▪ Configuration management and IAM functions collaborate to ensure Secure Baseline Configurations (SBC) enforce “least privileges” on TAAS.

Level 3 Well Defined

Identification & Authentication (IAC) 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 IAC 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 IAC domain capabilities are well-documented and kept current by process owners.
▪ An Identity & Access Management (IAM) team, or similar function, is appropriately staffed and supported to implement and maintain IAC domain capabilities.
▪ Technology is leveraged to enhance the efficiency and accuracy of IAM operations (e.g., directory services, Authenticate, Authorize and Audit (AAA) 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 IAC 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 accept and electronically verify organizational Personal Identity Verification (PIV) credentials.

Level 4 Quantitatively Controlled

Identification & Authentication (IAC) 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 Παραπομπές

1.2 Εντοπισμένες απαιτήσεις

1.3 Σχετικοί κανονισμοί

2. Εντοπισμένες απαιτήσεις

Απαιτήσεις

3. Σχετικοί κανονισμοί

Κανονισμοί
EULAW Άρθρο 20 Διαχείριση ταυτότητας
EULAW Άρθρο 20 Διαχείριση ταυτότητας
EULAW Άρθρο 21 Έλεγχος πρόσβασης

Άρθρο 21

Έλεγχος πρόσβασης

Στο πλαίσιο του ελέγχου της διαχείρισης δικαιωμάτων πρόσβασης, οι χρηματοοικονομικές οντότητες αναπτύσσουν, τεκμηριώνουν και εφαρμόζουν πολιτική που περιλαμβάνει όλα τα ακόλουθα:

α) 

την εκχώρηση δικαιωμάτων πρόσβασης σε πόρους ΤΠΕ με βάση τις αρχές της ανάγκης γνώσης, της ανάγκης χρήσης και των ελάχιστων προνομίων, μεταξύ άλλων για την εξ αποστάσεως πρόσβαση και την πρόσβαση έκτακτης ανάγκης·

β) 

τον διαχωρισμό των καθηκόντων που έχουν σχεδιαστεί για την πρόληψη της αδικαιολόγητης πρόσβασης σε κρίσιμα δεδομένα ή για την αποτροπή της κατανομής συνδυασμών δικαιωμάτων πρόσβασης που ενδέχεται να χρησιμοποιηθούν για την παράκαμψη ελέγχων·

γ) 

διάταξη σχετικά με τη λογοδοσία χρήστη, περιορίζοντας στο μέτρο του δυνατού τη χρήση γενικών και κοινών λογαριασμών χρήστη και διασφαλίζοντας ότι ανά πάσα στιγμή μπορεί να εξακριβωθεί η ταυτότητα των χρηστών σε σχέση με τις ενέργειες που εκτελούνται στα συστήματα ΤΠΕ·

δ) 

διάταξη σχετικά με τους περιορισμούς της πρόσβασης σε πόρους ΤΠΕ, καθορίζοντας δικλείδες ασφαλείας και εργαλεία για την πρόληψη της μη εξουσιοδοτημένης πρόσβασης·

ε) 

διαδικασίες διαχείρισης λογαριασμών για τη χορήγηση, την αλλαγή ή την ανάκληση δικαιωμάτων πρόσβασης για λογαριασμούς χρήστη και γενικούς λογαριασμούς, μεταξύ άλλων γενικούς λογαριασμούς διαχειριστή, συμπεριλαμβανομένης διάταξης για όλα τα ακόλουθα:

i) 

την ανάθεση ρόλων και αρμοδιοτήτων για τη χορήγηση, την επανεξέταση και την ανάκληση δικαιωμάτων πρόσβασης·

ii) 

την εκχώρηση προνομιακής πρόσβασης, πρόσβασης έκτακτης ανάγκης και διαχειριστή με βάση την ανάγκη χρήσης ή ad hoc για όλα τα συστήματα ΤΠΕ·

iii) 

την ανάκληση δικαιωμάτων πρόσβασης χωρίς αδικαιολόγητη καθυστέρηση μετά τη λήξη της απασχόλησης ή όταν η πρόσβαση δεν είναι πλέον απαραίτητη·

iv) 

την επικαιροποίηση δικαιωμάτων πρόσβασης όταν απαιτούνται αλλαγές και τουλάχιστον μία φορά ετησίως για όλα τα συστήματα ΤΠΕ, εκτός από τα συστήματα ΤΠΕ που υποστηρίζουν κρίσιμες ή σημαντικές λειτουργίες και τουλάχιστον κάθε 6 μήνες για συστήματα ΤΠΕ που υποστηρίζουν κρίσιμες ή σημαντικές λειτουργίες·

στ) 

μεθόδους επαλήθευσης ταυτότητας, συμπεριλαμβανομένων όλων των ακόλουθων στοιχείων:

i) 

της χρήσης μεθόδων επαλήθευσης ταυτότητας ανάλογων με την ταξινόμηση που καθορίζεται σύμφωνα με το άρθρο 8 παράγραφος 1 του κανονισμού (ΕΕ) 2022/2554 και με το συνολικό προφίλ κινδύνου των πόρων ΤΠΕ και με συνεκτίμηση κορυφαίων πρακτικών·

ii) 

της χρήσης μεθόδων ισχυρής αυθεντικοποίησης σύμφωνα με κορυφαίες πρακτικές και τεχνικές για την εξ αποστάσεως πρόσβαση στο δίκτυο της χρηματοοικονομικής οντότητας, για προνομιακή πρόσβαση, για πρόσβαση στους πόρους ΤΠΕ που υποστηρίζουν κρίσιμες ή σημαντικές λειτουργίες ή πόρους ΤΠΕ που είναι προσβάσιμοι από το κοινό·

ζ) 

μέτρα για δικλείδες ασφαλείας φυσικής πρόσβασης που περιλαμβάνουν:

i) 

την ταυτοποίηση και καταγραφή των φυσικών προσώπων που είναι εξουσιοδοτημένα να έχουν πρόσβαση σε εγκαταστάσεις, κέντρα δεδομένων και ευαίσθητους οριοθετημένους χώρους που προσδιορίζει η χρηματοοικονομική οντότητα, όπου βρίσκονται πόροι ΤΠΕ και πληροφοριακοί πόροι·

ii) 

τη χορήγηση δικαιωμάτων φυσικής πρόσβασης σε κρίσιμους πόρους ΤΠΕ μόνο σε εξουσιοδοτημένα πρόσωπα, σύμφωνα με τις αρχές της ανάγκης γνώσης και των ελάχιστων προνομίων, και σε ad hoc βάση·

iii) 

την παρακολούθηση της φυσικής πρόσβασης σε εγκαταστάσεις, κέντρα δεδομένων και ευαίσθητους οριοθετημένους χώρους που προσδιορίζει η χρηματοοικονομική οντότητα, όπου βρίσκονται πόροι ΤΠΕ και πληροφοριακοί πόροι·

iv) 

την επανεξέταση των δικαιωμάτων φυσικής πρόσβασης προκειμένου να διασφαλιστεί η άμεση ανάκληση περιττών δικαιωμάτων πρόσβασης.

Για τους σκοπούς του στοιχείου ε) σημείο i), οι χρηματοοικονομικές οντότητες καθορίζουν την περίοδο διατήρησης, λαμβάνοντας υπόψη τους επιχειρηματικούς στόχους και τους στόχους ασφάλειας των πληροφοριών, τους λόγους καταχώρισης του συμβάντος στα αρχεία καταγραφής και τα αποτελέσματα της αξιολόγησης κινδύνων ΤΠΕ.

Για τους σκοπούς του στοιχείου ε) σημείο ii), οι χρηματοοικονομικές οντότητες χρησιμοποιούν, όπου είναι δυνατόν, ειδικούς λογαριασμούς για την εκτέλεση διοικητικών καθηκόντων στα συστήματα ΤΠΕ. Όπου είναι εφικτό και σκόπιμο, οι χρηματοοικονομικές οντότητες εφαρμόζουν αυτοματοποιημένες λύσεις για τη διαχείριση προνομιακής πρόσβασης.

Για τους σκοπούς του στοιχείου ζ) σημείο i), η ταυτοποίηση και η καταγραφή είναι ανάλογες προς τη σημασία των εγκαταστάσεων, των κέντρων δεδομένων, των ευαίσθητων οριοθετημένων χώρων και με την κρισιμότητα των λειτουργιών ή των συστημάτων ΤΠΕ που βρίσκονται εκεί.

Για τους σκοπούς του στοιχείου ζ) σημείο iii), η παρακολούθηση είναι ανάλογη με την ταξινόμηση που καθορίζεται σύμφωνα με το άρθρο 8 παράγραφος 1 του κανονισμού (ΕΕ) 2022/2554 και την κρισιμότητα του χώρου στον οποίο πραγματοποιείται πρόσβαση.
EULAW Άρθρο 33 Έλεγχος πρόσβασης

Άρθρο 33

Έλεγχος πρόσβασης

Οι χρηματοοικονομικές οντότητες που αναφέρονται στο άρθρο 16 παράγραφος 1 του κανονισμού (ΕΕ) 2022/2554 αναπτύσσουν, τεκμηριώνουν και εφαρμόζουν διαδικασίες για τον έλεγχο της λογικής και φυσικής πρόσβασης και επιβάλλουν, παρακολουθούν και επανεξετάζουν περιοδικά τις εν λόγω διαδικασίες. Οι διαδικασίες αυτές περιλαμβάνουν τα ακόλουθα στοιχεία ελέγχου της λογικής και φυσικής πρόσβασης:

α) 

διαχείριση των δικαιωμάτων πρόσβασης σε πληροφοριακούς πόρους, πόρους ΤΠΕ και στις υποστηριζόμενες λειτουργίες τους, καθώς και σε κρίσιμες τοποθεσίες λειτουργίας της χρηματοοικονομικής οντότητας, με βάση την ανάγκη γνώσης, την ανάγκη χρήσης και τα ελάχιστα προνόμια, συμπεριλαμβανομένης της εξ αποστάσεως πρόσβασης και της πρόσβασης έκτακτης ανάγκης·

β) 

λογοδοσία χρήστη, η οποία διασφαλίζει ότι μπορούν να ταυτοποιούνται οι χρήστες για τις ενέργειες που εκτελούνται στα συστήματα ΤΠΕ·

γ) 

διαδικασίες διαχείρισης λογαριασμών για τη χορήγηση, την αλλαγή ή την ανάκληση δικαιωμάτων πρόσβασης για λογαριασμούς χρήστη και γενικούς λογαριασμούς, συμπεριλαμβανομένων γενικών λογαριασμών διαχειριστή·

δ) 

μεθόδους επαλήθευσης ταυτότητας που είναι ανάλογες προς την ταξινόμηση που αναφέρεται στο άρθρο 30 παράγραφος 1 και προς το συνολικό προφίλ κινδύνου των πόρων ΤΠΕ, και οι οποίες βασίζονται σε κορυφαίες πρακτικές·

ε) 

περιοδική επανεξέταση των δικαιωμάτων πρόσβασης και ανάκληση αυτών όταν δεν είναι πλέον αναγκαία.

Για τους σκοπούς του στοιχείου γ), η χρηματοοικονομική οντότητα εκχωρεί προνομιακή πρόσβαση, πρόσβαση έκτακτης ανάγκης και διαχειριστή με βάση την ανάγκη χρήσης ή ad hoc για όλα τα συστήματα ΤΠΕ και προχωρά σε καταγραφή σύμφωνα με το άρθρο 34 πρώτο εδάφιο στοιχείο στ).

Για τους σκοπούς του στοιχείου δ), οι χρηματοοικονομικές οντότητες χρησιμοποιούν μεθόδους ισχυρής αυθεντικοποίησης που βασίζονται σε κορυφαίες πρακτικές για την εξ αποστάσεως πρόσβαση στο δίκτυο των χρηματοοικονομικών οντοτήτων, για προνομιακή πρόσβαση και για την πρόσβαση σε πόρους ΤΠΕ που υποστηρίζουν κρίσιμες ή σημαντικές λειτουργίες που είναι δημόσια διαθέσιμες.
EULAW Άρθρο 33 Έλεγχος πρόσβασης

Άρθρο 33

Έλεγχος πρόσβασης

Οι χρηματοοικονομικές οντότητες που αναφέρονται στο άρθρο 16 παράγραφος 1 του κανονισμού (ΕΕ) 2022/2554 αναπτύσσουν, τεκμηριώνουν και εφαρμόζουν διαδικασίες για τον έλεγχο της λογικής και φυσικής πρόσβασης και επιβάλλουν, παρακολουθούν και επανεξετάζουν περιοδικά τις εν λόγω διαδικασίες. Οι διαδικασίες αυτές περιλαμβάνουν τα ακόλουθα στοιχεία ελέγχου της λογικής και φυσικής πρόσβασης:

α) 

διαχείριση των δικαιωμάτων πρόσβασης σε πληροφοριακούς πόρους, πόρους ΤΠΕ και στις υποστηριζόμενες λειτουργίες τους, καθώς και σε κρίσιμες τοποθεσίες λειτουργίας της χρηματοοικονομικής οντότητας, με βάση την ανάγκη γνώσης, την ανάγκη χρήσης και τα ελάχιστα προνόμια, συμπεριλαμβανομένης της εξ αποστάσεως πρόσβασης και της πρόσβασης έκτακτης ανάγκης·

β) 

λογοδοσία χρήστη, η οποία διασφαλίζει ότι μπορούν να ταυτοποιούνται οι χρήστες για τις ενέργειες που εκτελούνται στα συστήματα ΤΠΕ·

γ) 

διαδικασίες διαχείρισης λογαριασμών για τη χορήγηση, την αλλαγή ή την ανάκληση δικαιωμάτων πρόσβασης για λογαριασμούς χρήστη και γενικούς λογαριασμούς, συμπεριλαμβανομένων γενικών λογαριασμών διαχειριστή·

δ) 

μεθόδους επαλήθευσης ταυτότητας που είναι ανάλογες προς την ταξινόμηση που αναφέρεται στο άρθρο 30 παράγραφος 1 και προς το συνολικό προφίλ κινδύνου των πόρων ΤΠΕ, και οι οποίες βασίζονται σε κορυφαίες πρακτικές·

ε) 

περιοδική επανεξέταση των δικαιωμάτων πρόσβασης και ανάκληση αυτών όταν δεν είναι πλέον αναγκαία.

Για τους σκοπούς του στοιχείου γ), η χρηματοοικονομική οντότητα εκχωρεί προνομιακή πρόσβαση, πρόσβαση έκτακτης ανάγκης και διαχειριστή με βάση την ανάγκη χρήσης ή ad hoc για όλα τα συστήματα ΤΠΕ και προχωρά σε καταγραφή σύμφωνα με το άρθρο 34 πρώτο εδάφιο στοιχείο στ).

Για τους σκοπούς του στοιχείου δ), οι χρηματοοικονομικές οντότητες χρησιμοποιούν μεθόδους ισχυρής αυθεντικοποίησης που βασίζονται σε κορυφαίες πρακτικές για την εξ αποστάσεως πρόσβαση στο δίκτυο των χρηματοοικονομικών οντοτήτων, για προνομιακή πρόσβαση και για την πρόσβαση σε πόρους ΤΠΕ που υποστηρίζουν κρίσιμες ή σημαντικές λειτουργίες που είναι δημόσια διαθέσιμες.

Συνδεδεμένα ζητήματα

Συνδέσεις
is related to Annual
is related to relative Control Weighting = 09
is related to Technology
is related to Protect
is related to SCRM Focus Tier 1 STRATEGIC
is related to SCRM Focus Tier 2 OPERATIONAL
is related to SCRM Focus Tier 3 TACTICAL
blocks OS Credential Dumping
blocks LSASS Memory
blocks Security Account Manager
blocks NTDS
blocks LSA Secrets
blocks Cached Domain Credentials
blocks DCSync
blocks Proc Filesystem
blocks /etc/passwd and /etc/shadow
blocks Remote Services
blocks Remote Desktop Protocol
blocks SMB/Windows Admin Shares
blocks Distributed Component Object Model
blocks SSH
blocks VNC
blocks Windows Remote Management
blocks Cloud Services
blocks Direct Cloud VM Connections
blocks Double File Extension
blocks Masquerade Account Name
blocks Network Sniffing
blocks Windows Management Instrumentation
blocks Scheduled Task/Job
blocks At
blocks Cron
blocks Scheduled Task
blocks Systemd Timers
blocks Container Orchestration Job
blocks Process Injection
blocks Ptrace System Calls
blocks Web Portal Capture
blocks Command and Scripting Interpreter
blocks PowerShell
blocks Network Device CLI
blocks Cloud API
blocks Software Deployment Tools
blocks Valid Accounts
blocks Domain Accounts
blocks Local Accounts
blocks Cloud Accounts
blocks Cloud Account
blocks Account Manipulation
blocks Additional Cloud Credentials
blocks Additional Email Delegate Permissions
blocks Additional Cloud Roles
blocks SSH Authorized Keys
blocks Additional Local or Domain Groups
blocks Brute Force
blocks Password Guessing
blocks Password Cracking
blocks Password Spraying
blocks Credential Stuffing
blocks Multi-Factor Authentication Interception
blocks Email Collection
blocks Remote Email Collection
blocks External Remote Services
blocks Access Token Manipulation
blocks Token Impersonation/Theft
blocks Create Process with Token
blocks Make and Impersonate Token
blocks Create Account
blocks Local Account
blocks Domain Account
blocks Cloud Account
blocks Browser Session Hijacking
blocks Exploit Public-Facing Application
blocks BITS Jobs
blocks Exploitation of Remote Services
blocks Exploitation for Credential Access
blocks Data from Information Repositories
blocks Confluence
blocks Sharepoint
blocks Code Repositories
blocks Customer Relationship Management Software
blocks Messaging Applications
blocks System Binary Proxy Execution
blocks Msiexec
blocks File and Directory Permissions Modification
blocks Windows Permissions
blocks Linux and Mac Permissions
blocks Domain or Tenant Policy Modification
blocks Service Stop
blocks Firmware Corruption
blocks Server Software Component
blocks Transport Agent
blocks IIS Components
blocks Implant Internal Image
blocks Steal Application Access Token
blocks Data from Cloud Storage
blocks Transfer Data to Cloud Account
blocks Cloud Service Dashboard
blocks Steal Web Session Cookie
blocks Pre-OS Boot
blocks System Firmware
blocks Bootkit
blocks TFTP Boot
blocks Create or Modify System Process
blocks Launch Agent
blocks Systemd Service
blocks Windows Service
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blocks Container Service
blocks Windows Management Instrumentation Event Subscription
blocks Winlogon Helper DLL
blocks Kernel Modules and Extensions
blocks Shortcut Modification
blocks Print Processors
blocks XDG Autostart Entries
blocks Abuse Elevation Control Mechanism
blocks Bypass User Account Control
blocks Sudo and Sudo Caching
blocks Use Alternate Authentication Material
blocks Application Access Token
blocks Pass the Hash
blocks Pass the Ticket
blocks Unsecured Credentials
blocks Credentials In Files
blocks Credentials in Registry
blocks Private Keys
blocks Group Policy Preferences
blocks Container API
blocks Password Managers
blocks Modify Authentication Process
blocks Domain Controller Authentication
blocks Pluggable Authentication Modules
blocks Network Device Authentication
blocks Multi-Factor Authentication
blocks Hybrid Identity
blocks Conditional Access Policies
blocks Steal or Forge Kerberos Tickets
blocks Golden Ticket
blocks Silver Ticket
blocks Kerberoasting
blocks AS-REP Roasting
blocks Ccache Files
blocks Inter-Process Communication
blocks Component Object Model
blocks Remote Service Session Hijacking
blocks SSH Hijacking
blocks RDP Hijacking
blocks System Services
blocks Launchctl
blocks Service Execution
blocks Hijack Execution Flow
blocks Executable Installer File Permissions Weakness
blocks Services File Permissions Weakness
blocks COR_PROFILER
blocks Modify Cloud Compute Infrastructure
blocks Create Snapshot
blocks Create Cloud Instance
blocks Delete Cloud Instance
blocks Cloud Infrastructure Discovery
blocks Network Boundary Bridging
blocks Network Address Translation Traversal
blocks Modify System Image
blocks Patch System Image
blocks Downgrade System Image
blocks Deploy Container
blocks Escape to Host
blocks Container and Resource Discovery
blocks Cloud Storage Object Discovery
blocks Multi-Factor Authentication Request Generation
blocks Serverless Execution
blocks Steal or Forge Authentication Certificates
blocks Cloud Administration Command
blocks Loss of Accountability / Attribution
blocks Excessive or Unauthorized Privilege
blocks Unauthorized Privilege Elevation
blocks Unauthorized Access
blocks Identity Compromise / Impersonation
blocks Unauthorized Modification / Loss of System Integrity
blocks System / Data Compromise (Technical Vector)
blocks System / Data Compromise (Non-Technical Vector)
blocks System / Service Compromise
blocks Intellectual Property / Trade Secret Loss
blocks Fraud / Theft / Direct Financial Loss
blocks Loss of Investigative / Evidentiary Capability
blocks Undetected / Delayed Detection of Adverse Activity
blocks Loss of Confidentiality
blocks Loss of Data Integrity
blocks Loss of Data / Service Availability
blocks Loss of Authenticity / Provenance
blocks Privacy Harm / Unauthorized Processing
blocks Drought & Water Shortage
blocks Earthquakes
blocks Fire & Wildfires
blocks Floods
blocks Hurricanes & Tropical Storms
blocks Landslides & Debris Flow
blocks Pandemic (Disease) Outbreaks
blocks Severe Weather
blocks Space Weather
blocks Thunderstorms & Lightning
blocks Tornadoes
blocks Tsunamis
blocks Volcanoes
blocks Winter Storms & Extreme Cold
blocks Malicious Cyber Activity
blocks Physical Crime
blocks Utility Service Disruption
blocks Dysfunctional Management Practices
blocks Human Error
blocks Technical / Mechanical Failure
blocks Data Quality Degradation / Data Poisoning
blocks Fraud, Corruption and/or Intentional Criminal Conduct
blocks Conflict of Interest (COI) / Undue Influence / Insider Misconduct
blocks Infrastructure Failure / Degradation
blocks Cryptographic Compromise / Cryptanalytic Capability Advancement
blocks IAM-06.03B
blocks IAM-07.03AC
blocks IAM-08.01B
blocks IAM-08.07B
is blocked by IAC-32 Identification & Authentication for Organizational Users – Assessment Procedure
blocks IA-02 Identification and Authentication (Organizational Users)
blocks IA-02 [L] Identification and Authentication (Organizational Users)
blocks IA-02 [M] Identification and Authentication (Organizational Users)
blocks IA-02 [H] Identification and Authentication (Organizational Users)
blocks 03.05.01 User Identification and Authentication
blocks 03.05.05 Identifier Management
blocks PR.AA-01 Identities and credentials for authorized users, services, and hardware are managed by the organization
blocks PR.AA-03 Users, services, and hardware are authenticated
blocks PR.AA-05 Access permissions, entitlements, and authorizations are defined in a policy, managed, enforced, and reviewed, and incorporate the principles of …
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