Compliance Reports: Basel II

Document created by RSA Information Design and Development on May 25, 2016Last modified by RSA Information Design and Development on Apr 10, 2018
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Basel II compliance reports are based on recommendations by bank supervisors and central bankers to improve the consistency of capital regulations internationally, make regulatory capital more risk sensitive, and promote enhanced risk-management practices among international banking organizations.

Dependencies

The Basel II compliance reports have the following dependencies.

               
SA RulesApp Rules

Accounts Created

Accounts Deleted

Accounts Modified

Group Management

User Access Revoked

Password Changes

Admin Access to Compliance Systems Details

Admin Access to Compliance Systems Summary

Access To Compliance Data Details

Access to Compliance Data Summary

Logon Failures Details

Logon Failures Summary

User Access to Compliance Systems Details

User Access to Compliance Systems Summary

Change in Audit Settings

account:created

account:deleted

account:modified

account:group-management

access:user-access-revoked

account:password-change

account:logon-failure

config:change-audit-setting

account:logon-success

alm:cardholder-data

Citations

The Basel II reports have the following Citations.

                                                                                             
Report RuleCitation NumberCitation Description
Accounts CreatedBASEL II; ISO 27002 - 11.1.1, 11.2.2, 11.4.6, 11.6.1This report displays user accounts that have been created.
Accounts DeletedBASEL II; ISO 27002 - 11.1.1, 11.2.2, 11.4.6, 11.6.1This report displays user accounts that have been deleted.
Accounts ModifiedBASEL II; ISO 27002 - 11.1.1, 11.2.2, 11.4.6, 11.6.1This report displays user accounts that have been modified.
Admin Access to Compliance Systems - DetailBASEL II; ISO 27002 - 10.10.4This report displays all successful logons.
Admin Access to Compliance Systems - Top 25BASEL II; ISO 27002 - 10.10.4This report displays a count of successful logons.
Change in Audit SettingsBASEL II; ISO 15408-2This report displays all events that describe the audit settings that were enabled or disabled by users.
Access to Compliance Data - DetailBASEL IIThis report displays logs related to files accessed by users. The file names containing financial data can be added in the watchlist for a filtered view.
Access to Compliance Data - Top 25BASEL IIThis report displays a count of files accessed by users. The file names containing financial data can be added in the watchlist for a filtered view.
Group ManagementBASEL II; ISO 27002 - 11.1.1, 11.2.2, 11.4.6, 11.6.1This report displays access control rules and rights for all users and groups.
Logon Failures - DetailBASEL II; ISO 27002 - 11.5.1This report contains a count of all logon failures.
Logon Failures - Top 25BASEL II; ISO 27002 - 11.5.1This report displays all logon failures.
Password Changes - DetailBASEL IIThis report contains logs of the accounts with password changes.
User Access RevokedBASEL II; ISO 27002 - 11.2.1This report lists all rights removed from a user.
User Access to Compliance Systems - DetailBASEL II; ISO 27002 -11.5.1This report displays all successful logons.
User Access to Compliance Systems - Top 25BASEL II; ISO 27002 -11.5.1This report displays a count of successful logons.
Account Management  
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