IT Control Objectives for Basel II—The Importance of Governance and Risk Management for Compliance

IT Control Objectives for Basel II—The Importance of Governance and Risk Management for Compliance

Preface

Chapter 1

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Executive Summary

Chapter 2

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Governance, Risk Management and Compliance—Top Business Priorities

Chapter 3

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Evolving Regulatory Landscape

Chapter 4

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The Basel II Approach to Managing Risk

Chapter 5

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The Need to Manage Operational Risk

Chapter 6

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Managing Information Risks

Chapter 7

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Business Processes to IT Risks to IT Controls — Applying the COBIT Framework

Chapter 8

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Use of Key IT Risk Indicators

Appendix I

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Basel II Summary

Appendix II

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High-level Alignment of COSO ERM and Basel II

Appendix III

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High-level Alignment of Basel II Principle 1 — The Second Pillar—Supervisory Review Process (June 2006) and COSO ERM— Integrated Framework (September 2004)

Appendix IV

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The Dependence of the COSO ERM Framework on Data Quality

Appendix V

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Basel II and COBIT

Appendix VI

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COBIT Processes

Appendix VII

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ABC Bank—A Worked Example

Appendix VIII

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References