Authentic Swift Certification Exam CSP-Assessor Questions Answers

The "Independent Assessment Process for Assessors Guidelines" mandates record-keeping for CSP assessments. Let’s evaluate each option:

•Option A: To support quality review (audit) processes

This applies. Minutes are required to facilitate quality reviews or audits by SWIFT or third parties, ensuring assessment integrity, as per the guidelines.

•Option B: For documentation purpose

This applies. Documentation is a core requirement to maintain a record of decisions and findings, supporting the "Swift_CSP_Assessment_Report_Template" and assessment traceability.

•Option C: To keep key information that can be used as input for the next step in the assessment process

This applies. Minutes capture critical details (e.g., scope changes) that inform subsequent assessment phases, aligning with the assessment workflow.

•Option D: To be uploaded in KYC-SA at the end of the assessment (mandated by SWIFT)

This does not apply. The KYC-SA portal requires the assessment report and completion letter, not meeting minutes, as per the "Independent Assessment Framework."

Summary of Correct Answers:

Minutes are kept to support quality reviews (A), for documentation (B), and as input for the next step (C).

References to SWIFT Customer Security Programme Documents:

•Independent Assessment Process for Assessors Guidelines: Mandates minutes for these purposes.

•Independent Assessment Framework: Supports documentation and review.

•Swift_CSP_Assessment_Report_Template: Relies on documented records.

========

This question addresses the obligations of a Swift user who has switched from one Service Bureau (SB) to another under the Customer Security Programme (CSP).

Step 1: Understand CSP Obligations for Changes

TheSwift Customer Security Controls Framework (CSCF) v2024andIndependent Assessment Frameworkrequire Swift users to maintain accurate and up-to-date information regarding their infrastructure,including changes in service providers like Service Bureaus. Such changes may impact compliance and architecture types.

Step 2: Evaluate Each Option

A. To inform the SB certification office at Swift WWThere is no specific "SB certification office" mentioned in theCSCF v2024orSwift CSP Guidelines. Notifications are typically handled through attestation updates, not a dedicated office.Conclusion: Incorrect.

B. To reflect that in the next attestation cycleWhile changes must be reflected in attestations, delaying this until the next cycle (e.g., annually) is insufficient if the change affects compliance. TheSwift CSP Compliance Guidelinesrequire timely updates for significant changes.Conclusion: Incorrect.

C. None if there is no impact in the architecture typeEven if the architecture type (e.g., A2, A4) remains unchanged, a switch in Service Bureau may affect security controls, vendor management, or connectivity. TheCSCF v2024underControl 1.1: Swift Environment Protectionrequires users to report changes that could impact compliance, regardless of architecture type.Conclusion: Incorrect.

D. To submit an updated attestation reflecting this change within 3 monthsTheSwift CSP Compliance GuidelinesandIndependent Assessment Frameworkmandate that significant changes (e.g., switching Service Bureaus) be reported through an updated attestation within 3 months. This ensures Swift is informed of potential compliance impacts and allows for review.Conclusion: Correct.

Step 3: Conclusion and Verification

The correct answer isD, as theCSCF v2024andSwift CSP Compliance Guidelinesrequire an updated attestation within 3 months to reflect a change in Service Bureau.

References

Swift Customer Security Controls Framework (CSCF) v2024, Control 1.1: Swift Environment Protection.

Swift Independent Assessment Framework, Section: Change Reporting.

Swift CSP Compliance Guidelines, Section: Timely Updates.

The "Independent Assessment Process for Assessors Guidelines" and "Independent Assessment Framework" define the roles of assessors and SWIFT users in the KYC-SA (Know Your Customer - Security Attestation) process. Let’s evaluate each option:

•Option A: Yes, if the KYC-SA application is set up in 2-eyes mode, it is possible for the assessor to submit and approve an attestation on behalf of the SWIFT user’s

This is incorrect. The 2-eyes mode (dual approval) applies to the user’s internal process, not the assessor’s role. The assessor conducts the assessment and provides a report, but the submission and approval of the attestation on the KYC-SA portal are the user’s responsibility, typically by the CISO or an authorized officer.

•Option B: Yes, with agreement from the CISO of the SWIFT User

This is incorrect. CISO agreement does not authorize the assessor to approve the attestation; the CSP reserves this authority for the user.

•Option C: No, the approval always remains the responsibility of the CISO of the SWIFT User (or similar level of responsibility)

This is correct. The "Swift_CSP_Assessment_Report_Template" and "CSCF Assessment Completion Letter" indicate that the assessor provides an independent evaluation, but the final approval and submission of the attestation on KYC-SA are the responsibility of the SWIFT user’s CISO or an equivalent senior officer, as per the "Independent Assessment Process for Assessors Guidelines."

•Option D: No, it is the responsibility of the SWIFT user’s internal audit to submit a CSP attestation

This is incorrect. Internal audit cannot submit or approve attestations due to the independence requirement; this role belongs to the CISO or designated user representative.

Summary of Correct Answer:

The assessor cannot approve the attestation; this responsibility lies with the CISO or similar user officer (C).

References to SWIFT Customer Security Programme Documents:

•Independent Assessment Process for Assessors Guidelines: Defines assessor and user roles.

•Independent Assessment Framework: Specifies user responsibility for attestation approval.

•Swift_CSP_Assessment_Report_Template: Outlines the assessment process.

========