Top 10 Identity Management Problems That Cause SOX Compliance Failures (SlideShare)

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Top 10 Identity Management Problems

That Cause SOX Compliance Failures

Robust identity management

(IDM) can provide the internal

controls, which enables IT to

prevent, detect, and remediate

fraudulent or negligent activity

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Root Causes of

Compliance Failures

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Weak identity management

procedures are often

The root causes for SOX

compliance failures,

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As they do not provide the

tools necessary to assist in

meeting SOX requirements

in policy enforcement, risk

assessment, fraud reduction

and compliance auditing

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The Top 10 Identity

Management Problems

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1. Weak procedures for

assigning, provisioning

and controlling users'

access rights

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2. Weak or non-existent

segregation of duties (SoD)

policy

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3. Failure to revoke user rights

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4. Failure to adjust user’s rights

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5. Failure to provide uniform

access policy

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6. Weak access policy

verification

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7. Weak authorization policy

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8. Distributed user credential

management

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9. Lack of compliance reports

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10.Lack of centralized identity

and access management

functions

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Bottom Line

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Weak identity management

can be the root cause of many

SOX compliance failures

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Do you know of other

Identity management

problems that cause

SOX compliance failures,

and how they are mitigated?

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Let us know your thoughts

in the comments box below

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