(a) To categorize following issue about Sarbanes Oxley audit of a financial services company into the suitable area specifications: The issue is five database administrators are accessing the system administrator account that has complete access to database.

Question

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Answer 1

Question

Chapter 8, Problem 8.72PAE

Program Plan Intro

(a)

To categorize following issue about Sarbanes Oxley audit of a financial services company into the suitable area specifications:

The issue is five database administrators are accessing the system administrator account that has complete access to database.

Program Plan Intro

(b)

To categorize following issue about Sarbanes Oxley audit of a financial services company into the suitable area specifications:

The given issue is Changes to database structure may not have management approval.

Program Plan Intro

(c)

To categorize following issue about Sarbanes Oxley audit of a financial services company into the suitable area specifications:

The given issue is Users continued to have database access even after termination.

Program Plan Intro

(d)

To categorize following issue about Sarbanes Oxley audit of a financial services company into the suitable area specifications:

The given issue is Backing up database on a regular basis using automated system.

Program Plan Intro

(e)

To categorize following issue about Sarbanes Oxley audit of a financial services company into the suitable area specifications:

The given issue is No logging has been enabled in DBMS in order to save space.

Program Plan Intro

(f)

To categorize following issue about Sarbanes Oxley audit of a financial services company into the suitable area specifications:

The given issue is there are been increase in usage volume of the main transaction table by 100% during last year. And at the same time, it is suggested by basic accounting data that number of customer transactions has been doubled.

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Answer 2

Question

Chapter 8, Problem 8.72PAE

Program Plan Intro

(a)

To categorize following issue about Sarbanes Oxley audit of a financial services company into the suitable area specifications:

The issue is five database administrators are accessing the system administrator account that has complete access to database.

Program Plan Intro

(b)

To categorize following issue about Sarbanes Oxley audit of a financial services company into the suitable area specifications:

The given issue is Changes to database structure may not have management approval.

Program Plan Intro

(c)

To categorize following issue about Sarbanes Oxley audit of a financial services company into the suitable area specifications:

The given issue is Users continued to have database access even after termination.

Program Plan Intro

(d)

To categorize following issue about Sarbanes Oxley audit of a financial services company into the suitable area specifications:

The given issue is Backing up database on a regular basis using automated system.

Program Plan Intro

(e)

To categorize following issue about Sarbanes Oxley audit of a financial services company into the suitable area specifications:

The given issue is No logging has been enabled in DBMS in order to save space.

Program Plan Intro

(f)

To categorize following issue about Sarbanes Oxley audit of a financial services company into the suitable area specifications:

The given issue is there are been increase in usage volume of the main transaction table by 100% during last year. And at the same time, it is suggested by basic accounting data that number of customer transactions has been doubled.

Expert Solution & Answer

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Answer 3

Question

Chapter 8, Problem 8.72PAE

Program Plan Intro

(a)

To categorize following issue about Sarbanes Oxley audit of a financial services company into the suitable area specifications:

The issue is five database administrators are accessing the system administrator account that has complete access to database.

Program Plan Intro

(b)

To categorize following issue about Sarbanes Oxley audit of a financial services company into the suitable area specifications:

The given issue is Changes to database structure may not have management approval.

Program Plan Intro

(c)

To categorize following issue about Sarbanes Oxley audit of a financial services company into the suitable area specifications:

The given issue is Users continued to have database access even after termination.

Program Plan Intro

(d)

To categorize following issue about Sarbanes Oxley audit of a financial services company into the suitable area specifications:

The given issue is Backing up database on a regular basis using automated system.

Program Plan Intro

(e)

To categorize following issue about Sarbanes Oxley audit of a financial services company into the suitable area specifications:

The given issue is No logging has been enabled in DBMS in order to save space.

Program Plan Intro

(f)

To categorize following issue about Sarbanes Oxley audit of a financial services company into the suitable area specifications:

The given issue is there are been increase in usage volume of the main transaction table by 100% during last year. And at the same time, it is suggested by basic accounting data that number of customer transactions has been doubled.

Expert Solution & Answer

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Answer 4

Question

Chapter 8, Problem 8.72PAE

Program Plan Intro

(a)

To categorize following issue about Sarbanes Oxley audit of a financial services company into the suitable area specifications:

The issue is five database administrators are accessing the system administrator account that has complete access to database.

Program Plan Intro

(b)

To categorize following issue about Sarbanes Oxley audit of a financial services company into the suitable area specifications:

The given issue is Changes to database structure may not have management approval.

Program Plan Intro

(c)

To categorize following issue about Sarbanes Oxley audit of a financial services company into the suitable area specifications:

The given issue is Users continued to have database access even after termination.

Program Plan Intro

(d)

To categorize following issue about Sarbanes Oxley audit of a financial services company into the suitable area specifications:

The given issue is Backing up database on a regular basis using automated system.

Program Plan Intro

(e)

To categorize following issue about Sarbanes Oxley audit of a financial services company into the suitable area specifications:

The given issue is No logging has been enabled in DBMS in order to save space.

Program Plan Intro

(f)

To categorize following issue about Sarbanes Oxley audit of a financial services company into the suitable area specifications:

The given issue is there are been increase in usage volume of the main transaction table by 100% during last year. And at the same time, it is suggested by basic accounting data that number of customer transactions has been doubled.

Expert Solution & Answer

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Answer 5

Chapter 8, Problem 8.72PAE

Program Plan Intro

(a)

To categorize following issue about Sarbanes Oxley audit of a financial services company into the suitable area specifications:

The issue is five database administrators are accessing the system administrator account that has complete access to database.

Program Plan Intro

(b)

To categorize following issue about Sarbanes Oxley audit of a financial services company into the suitable area specifications:

The given issue is Changes to database structure may not have management approval.

Program Plan Intro

(c)

To categorize following issue about Sarbanes Oxley audit of a financial services company into the suitable area specifications:

The given issue is Users continued to have database access even after termination.

Program Plan Intro

(d)

To categorize following issue about Sarbanes Oxley audit of a financial services company into the suitable area specifications:

The given issue is Backing up database on a regular basis using automated system.

Program Plan Intro

(e)

To categorize following issue about Sarbanes Oxley audit of a financial services company into the suitable area specifications:

The given issue is No logging has been enabled in DBMS in order to save space.

Program Plan Intro

(f)

To categorize following issue about Sarbanes Oxley audit of a financial services company into the suitable area specifications:

The given issue is there are been increase in usage volume of the main transaction table by 100% during last year. And at the same time, it is suggested by basic accounting data that number of customer transactions has been doubled.

Answer 6

Chapter 8, Problem 8.72PAE

Program Plan Intro

(a)

To categorize following issue about Sarbanes Oxley audit of a financial services company into the suitable area specifications:

The issue is five database administrators are accessing the system administrator account that has complete access to database.

Answer 7

Chapter 8, Problem 8.72PAE

Program Plan Intro

(a)

To categorize following issue about Sarbanes Oxley audit of a financial services company into the suitable area specifications:

The issue is five database administrators are accessing the system administrator account that has complete access to database.

Answer 8

Program Plan Intro

(b)

To categorize following issue about Sarbanes Oxley audit of a financial services company into the suitable area specifications:

The given issue is Changes to database structure may not have management approval.

Answer 9

Program Plan Intro

(b)

To categorize following issue about Sarbanes Oxley audit of a financial services company into the suitable area specifications:

The given issue is Changes to database structure may not have management approval.

Answer 10

Program Plan Intro

(c)

To categorize following issue about Sarbanes Oxley audit of a financial services company into the suitable area specifications:

The given issue is Users continued to have database access even after termination.

Answer 11

Program Plan Intro

(c)

To categorize following issue about Sarbanes Oxley audit of a financial services company into the suitable area specifications:

The given issue is Users continued to have database access even after termination.

Answer 12

Program Plan Intro

(d)

To categorize following issue about Sarbanes Oxley audit of a financial services company into the suitable area specifications:

The given issue is Backing up database on a regular basis using automated system.

Answer 13

Program Plan Intro

(d)

To categorize following issue about Sarbanes Oxley audit of a financial services company into the suitable area specifications:

The given issue is Backing up database on a regular basis using automated system.

Answer 14

Program Plan Intro

(e)

To categorize following issue about Sarbanes Oxley audit of a financial services company into the suitable area specifications:

The given issue is No logging has been enabled in DBMS in order to save space.

Answer 15

Program Plan Intro

(e)

To categorize following issue about Sarbanes Oxley audit of a financial services company into the suitable area specifications:

The given issue is No logging has been enabled in DBMS in order to save space.

Answer 16

Program Plan Intro

(f)

To categorize following issue about Sarbanes Oxley audit of a financial services company into the suitable area specifications:

The given issue is there are been increase in usage volume of the main transaction table by 100% during last year. And at the same time, it is suggested by basic accounting data that number of customer transactions has been doubled.

Answer 17

Program Plan Intro

(f)

To categorize following issue about Sarbanes Oxley audit of a financial services company into the suitable area specifications:

The given issue is there are been increase in usage volume of the main transaction table by 100% during last year. And at the same time, it is suggested by basic accounting data that number of customer transactions has been doubled.

Answer 18

Expert Solution & Answer

Answer 19

Expert Solution & Answer

Answer 20

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Answer 21

Ch. 8 - Prob. 8.1RQ Ch. 8 - Prob. 8.2RQ Ch. 8 - Prob. 8.3RQ Ch. 8 - Prob. 8.4RQ Ch. 8 - Prob. 8.5RQ Ch. 8 - Prob. 8.6RQ Ch. 8 - Prob. 8.7RQ Ch. 8 - Prob. 8.8RQ Ch. 8 - Explain why you sometimes have to reserve much...Ch. 8 - Why are field values sometimes coded?

(a) To categorize following issue about Sarbanes Oxley audit of a financial services company into the suitable area specifications: The issue is five database administrators are accessing the system administrator account that has complete access to database.

Solution Summary: The author explains the three areas of control that come under SOX audit: IT operations, IT change management, and Logical access to data.

(a)

To categorize following issue about Sarbanes Oxley audit of a financial services company into the suitable area specifications:

The issue is five database administrators are accessing the system administrator account that has complete access to database.

(b)

To categorize following issue about Sarbanes Oxley audit of a financial services company into the suitable area specifications:

The given issue is Changes to database structure may not have management approval.

(c)

To categorize following issue about Sarbanes Oxley audit of a financial services company into the suitable area specifications:

The given issue is Users continued to have database access even after termination.

(d)

To categorize following issue about Sarbanes Oxley audit of a financial services company into the suitable area specifications:

The given issue is Backing up database on a regular basis using automated system.

(e)

To categorize following issue about Sarbanes Oxley audit of a financial services company into the suitable area specifications:

The given issue is No logging has been enabled in DBMS in order to save space.

Want to see the full answer?

Chapter 8 Solutions

(a) To categorize following issue about Sarbanes Oxley audit of a financial services company into the suitable area specifications: The issue is five database administrators are accessing the system administrator account that has complete access to database.

Solution Summary: The author explains the three areas of control that come under SOX audit: IT operations, IT change management, and Logical access to data.

(a) To categorize following issue about Sarbanes Oxley audit of a financial services company into the suitable area specifications: The issue is five database administrators are accessing the system administrator account that has complete access to database.

(b) To categorize following issue about Sarbanes Oxley audit of a financial services company into the suitable area specifications: The given issue is Changes to database structure may not have management approval.

(c) To categorize following issue about Sarbanes Oxley audit of a financial services company into the suitable area specifications: The given issue is Users continued to have database access even after termination.

(d) To categorize following issue about Sarbanes Oxley audit of a financial services company into the suitable area specifications: The given issue is Backing up database on a regular basis using automated system.

(e) To categorize following issue about Sarbanes Oxley audit of a financial services company into the suitable area specifications: The given issue is No logging has been enabled in DBMS in order to save space.

Want to see the full answer?

Chapter 8 Solutions

(a)

To categorize following issue about Sarbanes Oxley audit of a financial services company into the suitable area specifications:

The issue is five database administrators are accessing the system administrator account that has complete access to database.

(b)

To categorize following issue about Sarbanes Oxley audit of a financial services company into the suitable area specifications:

The given issue is Changes to database structure may not have management approval.

(c)

To categorize following issue about Sarbanes Oxley audit of a financial services company into the suitable area specifications:

The given issue is Users continued to have database access even after termination.

(d)

To categorize following issue about Sarbanes Oxley audit of a financial services company into the suitable area specifications:

The given issue is Backing up database on a regular basis using automated system.

(e)

To categorize following issue about Sarbanes Oxley audit of a financial services company into the suitable area specifications:

The given issue is No logging has been enabled in DBMS in order to save space.