+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. Vue d’ensemble
| Intitulé |
Norme |
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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 Références
1.2 Exigences identifiées
1.3 Réglementations associées
2. Exigences identifiées
Exigences
| Source |
Exigence |
3. Réglementations associées
Réglementations
| Source |
Réglementation |
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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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Article 22 Politique de gestion des incidents liés aux TIC
Article 22
Politique de gestion des incidents liés aux TIC
Dans le cadre des mécanismes de détection des activités anormales, y compris des problèmes de performance des réseaux de TIC et des incidents liés aux TIC, les entités financières élaborent, documentent et mettent en œuvre une politique en matière d’incidents liés aux TIC dans le cadre de laquelle elles:
a)
documentent le processus de gestion des incidents liés aux TIC visé à l’article 17 du règlement (UE) 2022/2554;
b)
établissent une liste des contacts pertinents avec les fonctions internes et les parties prenantes externes qui sont directement associées à la sécurité des opérations de TIC, notamment en ce qui concerne:
i)
la détection et le suivi des cybermenaces;
ii)
la détection des activités anormales;
iii)
la gestion des vulnérabilités;
c)
établissent, mettent en œuvre et gèrent des mécanismes techniques, organisationnels et opérationnels pour soutenir le processus de gestion des incidents liés aux TIC, notamment des mécanismes permettant de détecter rapidement les activités et comportements anormaux conformément à l’article 23 du présent règlement;
▼C1
d)
conservent tous les éléments de preuve relatifs aux incidents liés aux TIC pendant une durée qui n’excède pas celle nécessaire à la réalisation des finalités pour lesquelles les données sont collectées, et qui est proportionnée à la criticité des fonctions «métiers», des processus d’appui et des actifs de TIC et informationnels affectés, conformément à l’article 8, paragraphe 2, du règlement délégué (UE) 2024/1772 de la Commission (
2
) et à toute exigence en matière de conservation applicable en vertu du droit de l’Union;
▼B
e)
établissent et mettent en œuvre des mécanismes permettant d’analyser les incidents importants ou récurrents liés aux TIC et les caractéristiques relatives au nombre et à la fréquence des incidents liés aux TIC.
Aux fins du point d), les entités financières conservent les éléments de preuve visés audit point de manière sécurisée aux fins dudit point.
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EULAW
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Article 23 Détection des activités anormales et critères pour la détection des incidents liés aux TIC et la réponse à ces incidents
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EULAW
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Article 23 Détection des activités anormales et critères pour la détection des incidents liés aux TIC et la réponse à ces incidents
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EULAW
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Article 34 Sécurité des opérations de TIC
Article 34
Sécurité des opérations de TIC
Dans le cadre de leurs systèmes, protocoles et outils, et pour tous les actifs de TIC, les entités financières visées à l’article 16, paragraphe 1, du règlement (UE) 2022/2554:
a)
suivent et gèrent le cycle de vie de tous les actifs de TIC;
b)
surveillent si les actifs de TIC sont pris en charge par des prestataires tiers de services TIC des entités financières, le cas échéant;
c)
définissent les besoins en capacités de leurs actifs de TIC et les mesures visant à maintenir et à améliorer la disponibilité et l’efficacité des systèmes de TIC et à prévenir les déficits de capacités en matière de TIC avant qu’ils ne se concrétisent;
d)
effectuent des scans et évaluations automatisés des vulnérabilités des actifs de TIC de façon proportionnée à leur classification visée à l’article 30, paragraphe 1, et au profil de risque global de l’actif de TIC, et déploient des correctifs pour remédier aux vulnérabilités identifiées;
e)
gèrent les risques liés aux actifs de TIC obsolètes, non pris en charge ou hérités;
f)
journalisent les événements liés au contrôle des accès logiques et physiques, aux opérations de TIC, y compris aux activités liées aux systèmes et au trafic réseau, et à la gestion des changements dans les TIC;
g)
définissent et mettent en œuvre des mesures de suivi et d’analyse des informations sur les activités et comportements anormaux pour les opérations de TIC critiques ou importantes;
h)
mettent en œuvre des mesures de suivi des informations pertinentes et actualisées sur les cybermenaces;
i)
mettent en œuvre des mesures visant à détecter les éventuelles fuites d’informations, les codes malveillants et les autres menaces pour la sécurité, ainsi que les vulnérabilités de notoriété publique dans les logiciels et le matériel, et vérifient la disponibilité de nouvelles mises à jour de sécurité correspondantes.
Aux fins du point f), les entités financières adaptent le niveau de détail des journaux en fonction de leur finalité et de leur utilisation des actifs de TIC produisant ces journaux.
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EULAW
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Article 10 Détection
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