+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. Pregled
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Standard |
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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 Sklici
1.2 Ugotovljene zahteve
1.3 Povezani predpisi
2. Ugotovljene zahteve
3. Povezani predpisi
Predpisi
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Regulativa |
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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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Člen 22 Politika obvladovanja incidentov, povezanih z IKT
Člen 22
Politika obvladovanja incidentov, povezanih z IKT
Finančni subjekti v okviru mehanizmov za odkrivanje neobičajnega ravnanja, vključno s težavami v zvezi z zmogljivostjo omrežja IKT in incidenti, povezanimi z IKT, razvijejo, dokumentirajo in izvajajo politiko glede incidentov, povezanih z IKT, s katero:
(a)
dokumentirajo postopek obvladovanja incidentov, povezanih z IKT, iz člena 17 Uredbe (EU) 2022/2554;
(b)
pripravijo seznam ustreznih stikov z notranjimi funkcijami in zunanjimi deležniki, ki so neposredno vključeni v varnost delovanja IKT, vključno z:
(i)
odkrivanjem in spremljanjem kibernetskih groženj;
(ii)
odkrivanjem neobičajnega ravnanja;
(iii)
upravljanjem ranljivosti;
(c)
vzpostavijo, izvajajo in upravljajo tehnične, organizacijske in operativne mehanizme za podporo postopku obvladovanja incidentov, povezanih z IKT, vključno z mehanizmi, ki omogočajo takojšnje odkrivanje neobičajnega ravnanja in vedenja v skladu s členom 23 te uredbe;
▼C1
(d)
hranijo vse dokaze v zvezi z incidenti, povezanimi z IKT, za obdobje, ki ni daljše, kot je potrebno za namene, za katere se zbirajo podatki, sorazmerno s kritičnostjo prizadetih poslovnih funkcij, podpornih postopkov ter sredstev IKT in informacijskih sredstev, v skladu s členom 8(2) Delegirane uredbe Komisije (EU) 2024/1772 (
2
), in vsemi veljavnimi zahtevami glede hrambe v skladu s pravom Unije;
▼B
(e)
vzpostavijo in izvajajo mehanizme za analizo pomembnih ali ponavljajočih se incidentov, povezanih z IKT, ter vzorcev v številu in pojavljanju incidentov, povezanih z IKT.
Za namene točke (d) finančni subjekti varno hranijo dokaze iz navedene točke.
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EULAW
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Člen 23 Odkrivanje neobičajnega ravnanja ter merila za odkrivanje incidentov, povezanih z IKT, in odzivanje nanje
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EULAW
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Člen 23 Odkrivanje neobičajnega ravnanja ter merila za odkrivanje incidentov, povezanih z IKT, in odzivanje nanje
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EULAW
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Člen 34 Varnost delovanja IKT
Člen 34
Finančni subjekti iz člena 16(1) Uredbe (EU) 2022/2554 v okviru svojih sistemov, protokolov in orodij ter za vsa sredstva IKT:
(a)
spremljajo in upravljajo življenjski cikel vseh sredstev IKT;
(b)
spremljajo, ali sredstva IKT podpirajo tretji ponudniki storitev IKT finančnih subjektov, kadar je ustrezno;
(c)
opredelijo zahteve glede zmogljivostih svojih sredstev IKT in ukrepe za ohranjanje in izboljšanje razpoložljivosti in učinkovitosti sistemov IKT ter preprečevanje pomanjkanja zmogljivosti IKT, preden se pojavi;
(d)
izvajajo avtomatizirano pregledovanje in ocenjevanje ranljivosti sredstev IKT, in sicer sorazmerno z njihovo razvrstitvijo iz člena 30(1) in splošnim profilom tveganja sredstva IKT, ter uvedejo popravke za odpravo prepoznanih ranljivosti;
(e)
obvladujejo tveganja, povezana z zastarelimi, nepodprtimi ali obstoječimi sredstvi IKT;
(f)
beležijo dogodke, povezane z nadzorom logičnega in fizičnega dostopa, delovanjem IKT, v dnevnike, vključno z dejavnostmi v zvezi s sistemom in omrežnim prometom, ter upravljanjem sprememb na področju IKT;
(g)
opredelijo in izvajajo ukrepe za spremljanje in analizo informacij o neobičajnem ravnanju in vedenju za kritično ali pomembno delovanje IKT;
(h)
izvajajo ukrepe za spremljanje relevantnih in najnovejših informacij o kibernetskih grožnjah;
(i)
izvajajo ukrepe za identifikacijo morebitnih uhajanj informacij, zlonamernih kod in drugih varnostnih groženj ter javno znanih ranljivosti v programski in strojni opremi ter preverjajo, ali obstajajo ustrezne nove varnostne posodobitve.
Za namene točke (f) finančni subjekti uskladijo raven podrobnosti dnevnikov z njihovim namenom in uporabo sredstev IKT, ki te dnevnike proizvajajo.
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EULAW
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Člen 10 Odkrivanje
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Povezane zadeve
- 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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