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Swift CSP-Assessor Exam Syllabus Topics:
Topic
Details
Topic 1
- Understanding the Swift Customer Security Programme: This domain is targeted at compliance officers, and risk managers involved in Swift operations. It evaluates the candidate's comprehension of the CSP controls framework and their ability to determine the appropriate architecture type and related scope as outlined in the Customer Security Controls Framework (CSCF).
Topic 2
- Understanding Swift: This section of the exam measures the skills of Swift network administrators and covers Swift's crucial role in the international financial community, including the structure and operations of the Swift network and its infrastructure.
Topic 3
- Understanding the methodology and assessment deliverables: This section is designed for independent auditors working with Swift systems. It tests the candidate's grasp of the Assessor's role and obligations when conducting a CSP assessment. The section evaluates knowledge of key elements to consider during the assessment process.
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Swift Customer Security Programme Assessor Certification Sample Questions (Q93-Q98):
NEW QUESTION # 93
In the illustration, identify which components are in scope of the CSCF? (Choose all that apply.)
- A. Components A, B, K
- B. Components C, E, M
- C. Components J, K, I
- D. Components F, G, H
Answer: B,D
Explanation:
The Swift Customer Security Controls Framework (CSCF) defines the scope of components that must comply with its security controls. This scope is detailed in theCSCF v2024(and prior versions like CSCF v2023), which specifies that the CSCF applies to systems directly involved in the Swift messaging and connectivity ecosystem. Let's analyze the diagram to identify which components fall within this scope.
Step 1: Understand the Scope of CSCF
According to theSwift Customer Security Controls Framework (CSCF) v2024, the scope includes:
* Swift messaging interfaces(e.g., Alliance Access/Entry, RMA).
* Communication interfacesto the Swift network (e.g., SNL, HSM, PKI).
* Operator systemsdirectly interacting with Swift components (e.g., GUIs, admin/operator workstations).
* Middlewareor connectors directly facilitating Swift message flows.Systems that are not directly involved in Swift messaging or connectivity (e.g., back-office systems, general-purpose servers) are typically out of scope unless they pose a direct risk to the Swift environment.
Step 2: Analyze the Diagram and Identify Components
The diagram includes the following labeled components:
* A. Back Office: A system for back-office operations, not directly part of Swift messaging.
* B. Back Office Using Middleware Client: A back-office system with middleware for data exchange.
* C. Messaging Interface: Likely a Swift messaging interface (e.g., Alliance Access).
* D. RMA: Relationship Management Application, a Swift component for managing messaging relationships.
* E. GUI: Graphical User Interface for operators to interact with the messaging interface.
* F. Communication Interface: Interface for connecting to the Swift network.
* G. SNL: SwiftNet Link, a communication layer for Swift connectivity.
* H. HSM & PKI: Hardware Security Module and Public Key Infrastructure, used for secure Swift connectivity.
* I. Middleware File Transfer Servers: Servers facilitating data exchange between back-office and Swift systems.
* J, K, L. Data Exchange Paths: Represent data flows between systems (not components themselves).
* M. Operator (End User): The operator's workstation interacting with the Swift GUI.
* N. Connector: The connection point to the Swift network.
Step 3: Evaluate Each Option Against CSCF Scope
* A. Components A, B, K
* A (Back Office): Back-office systems are not in scope unless they directly process Swift messages. The CSCF focuses on Swift-specific infrastructure, and back-office systems are typically considered out of scope unless they pose a direct risk (e.g., via middleware).
* B (Back Office Using Middleware Client): While this system uses middleware to exchange data with Swift components, it is still a back-office system, not a core Swift component. The middleware itself (I) may be in scope, but the client (B) is not.
* K (Data Exchange Path): This is a data flow, not a component, and thus not directly in scope.
Conclusion: This option is incorrect.
* B. Components J, K, I
* J, K (Data Exchange Paths): These are data flows, not components, and are not directly in scope.
* I (Middleware File Transfer Servers): Middleware that facilitates Swift message flows (e.g., between back-office and messaging interface) can be in scope if it directlyprocesses or transmits Swift messages. PerControl 1.1: Swift Environment Protection, middleware in the Swift data flow must be secured, making it in scope. However, this option pairs I with J and K, which are not components.Conclusion: This option is incorrect due to J and K, though I alone would be in scope.
* C. Components F, G, H
* F (Communication Interface): This is the interface connecting to the Swift network, clearly in scope perControl 1.1.
* G (SNL): SwiftNet Link is a core communication component for Swift connectivity, in scope per Control 1.1.
* H (HSM & PKI): HSM and PKI are critical for secure Swift connectivity, in scope perControl
1.1.Conclusion: This option is correct.
* D. Components C, E, M
* C (Messaging Interface): This is a core Swift component (e.g., Alliance Access), in scope per Control 1.1.
* E (GUI): The GUI used by operators to interact with the messaging interface is in scope, as specified inControl 1.2: Logical Access Control, which includes operator systems.
* M (Operator End User): The operator's workstation is in scope as it directly interacts with Swift systems, perControl 1.2.Conclusion: This option is correct.
Step 4: Conclusion and Verification
The components in scope of the CSCF are those directly involved in Swift messaging, connectivity, and operator interaction. Based on the analysis:
* C (F, G, H)includes communication components, all in scope.
* D (C, E, M)includes the messaging interface, GUI, and operator workstation, all in scope.Components A, B, and data exchange paths (J, K, L) are not directly in scope, though middleware (I) would be if considered separately.
References
* Swift Customer Security Controls Framework (CSCF) v2024, Control 1.1: Swift Environment Protection.
* Swift Customer Security Programme - Scope and Applicability, Section: CSCF Scope Definition.
* CSCF v2024, Control 1.2: Logical Access Control.
NEW QUESTION # 94
From the outsourcing agent diagram, which components in the diagram are in scope and applicable for the Swift user.
- A. Components C, D and E
- B. Components A and B
- C. Components A, B, C, D and E
- D. None of the above
Answer: A
Explanation:
This question determines which components in the outsourcing agent diagram are in scope and applicable for the Swift user under theSwift Customer Security Controls Framework (CSCF) v2024.
Step 1: Understand CSCF Scope and the Diagram
* TheCSCF v2024defines the scope as systems directly involved in Swift messaging, connectivity, or security within the user's control or responsibility, including those managed by outsourcing agents. The diagram includes:
* A. Middleware server (customer connector): Part of the Swift user's environment.
* B. General-purpose PC Operator GUI: An operator system in the user's environment.
* C. Swift-related OAA: The messaging interface in the outsourcing agent's environment.
* D. Customer connector: A connector in the outsourcing agent's environment interfacing with the next service provider.
* E. Dedicated PC Admin users: Administrative systems in the outsourcing agent's environment.
* TheIndependent Assessment Frameworkholds the Swift user accountable for in-scope components, even when outsourced, perControl 1.1: Swift Environment Protection.
Step 2: Analyze Component Applicability
* A. Middleware server (customer connector): Located in the Swift user's environment, this connects to the outsourcing agent. While it facilitates Swift traffic, it is typically considered part of the user's local infrastructure and not directly in the outsourcing agent's scope for user responsibility, unless explicitly outsourced. TheCSCF v2024scope focuses on Swift-related systems managed by the outsourcing agent when the user relies on them.
* B. General-purpose PC Operator GUI: This is a user-side operator system, not a core Swift component. PerControl 1.2: Logical Access Control, it is out of the secure zone and not in scope for the outsourcing agent's responsibility.
* C. Swift-related OAA: This is the messaging interface (e.g., Alliance Access) managed by the outsourcing agent. It is in scope for the Swift user, as they are responsible for its security and compliance, perControl 1.1.
* D. Customer connector: This connector, within the outsourcing agent's environment, interfaces with the next service provider (e.g., SB, L2BA). It is in scope, as the user must ensure its security under Control 1.1.
* E. Dedicated PC Admin users: These administrative systems, managed by the outsourcing agent, are in scope because they control Swift-related components, perControl 1.2.
Step 3: Match with Options
* A. Components A, B, C, D and E: Includes A and B, which are not in scope for the outsourcing agent' s responsibility under the user's purview.
* B. Components A and B: Only includes user-side components, not the outsourcing agent's in-scope systems.
* C. Components C, D and E: Includes the outsourcing agent's Swift-related OAA, customer connector, and admin PCs, which are in scope for the user's compliance responsibility.
* D. None of the above: Incorrect, as C, D, and E are applicable.
Step 4: Conclusion and Verification
The correct answer isC, as Components C, D, and E, managed by the outsourcing agent, are in scope and applicable for the Swift user's compliance under theCSCF v2024.
References
* Swift Customer Security Controls Framework (CSCF) v2024, Control 1.1: Swift Environment Protection, Control 1.2: Logical Access Control.
* Swift Independent Assessment Framework, Section: Outsourcing Scope.
* Swift Outsourcing Guidelines, Section: User Responsibility.
NEW QUESTION # 95
Is the restriction of Internet access only relevant when having Swift-related components in a secure zone?
- A. No, because there can be in-scope general operator PCs used to access a Swift-related application hosted at a service provider
- B. Yes, because if there is no secure zone then the internet connectivity does not need to be restricted
Answer: A
Explanation:
This question examines the applicability of internet access restrictions under theSwift Customer Security Controls Framework (CSCF) v2024.
Step 1: Understand Internet Access Restrictions
Control 2.6: Internet Accessibility Restrictionof theCSCF v2024requires restricting internet access for Swift-related components to minimize exposure, applicable to both secure zones and other in-scope systems.
Step 2: Analyze the Statement
The question asks if the restriction is only relevant when Swift-related components are in a secure zone, implying a scope limitation.
Step 3: Evaluate Each Option
* A. Yes, because if there is no secure zone then the internet connectivity does not need to be restrictedIncorrect.Control 2.6applies to all in-scope components, not just those in secure zones. For example, operator PCs accessing hosted applications (e.g., via A3 architecture) must have restricted internet access, per theSwift Security Best Practices.Conclusion: Incorrect.
* B. No, because there can be in-scope general operator PCs used to access a Swift-related application hosted at a service providerCorrect. General operator PCs (e.g., Component B in the diagram) are in scope when accessing Swift applications (e.g., hosted by a service provider in A3 architecture).Control 2.6requires internet restriction for these systems, even outside a secure zone, as confirmed in theCSCF v2024andSwift Outsourcing Guidelines.Conclusion: Correct.
Step 4: Conclusion and Verification
The correct answer isB, asControl 2.6mandates internet access restrictions for all in-scope components, including operator PCs accessing hosted Swift applications, not just those in secure zones.
References
* Swift Customer Security Controls Framework (CSCF) v2024, Control 2.6: Internet Accessibility Restriction.
* Swift Security Best Practices, Section: Internet Access Controls.
* Swift Outsourcing Guidelines, Section: Operator PC Security.
NEW QUESTION # 96
What does the CSCF expect in terms of Database Integrity? (Choose all that apply.)
- A. When a database is used by a messaging interface or connector, the related hosted database and its supporting system must be protected as a Swift-related component and exceptions alerted
- B. Alerts generated from performed integrity checks are captured and analysed for appropriate treatment
- C. Nothing is needed when the messaging or connector integrates/embeds an integrity check functionality at each Swift transaction record level.
Answer: A,B
Explanation:
This question addresses database integrity expectations under theSwift Customer Security Controls Framework (CSCF) v2024.
Step 1: Understand Database Integrity Requirements
TheCSCF v2024, underControl 2.7: Database Integrity, mandates protection and monitoring of databases supporting Swift-related components to ensure data integrity and detect anomalies.
Step 2: Evaluate Each Option
* A. Nothing is needed when the messaging or connector integrates/embeds an integrity check functionality at each Swift transaction record levelIncorrect. Even with embedded checks,Control
2.7requires additional protection and monitoring of the database and supporting systems, not just reliance on transaction-level checks.Conclusion: Incorrect.
* B. When a database is used by a messaging interface or connector, the related hosted database and its supporting system must be protected as a Swift-related component and exceptions alerted Correct.Control 2.7requires that databases supporting messaging interfaces or connectors be secured (e.
g., in a secure zone) and that exceptions (e.g., integrity breaches) be alerted, per theCSCF v2024.
Conclusion: Correct.
* C. Alerts generated from performed integrity checks are captured and analysed for appropriate treatmentCorrect.Control 2.7andControl 6.1: Security Event Loggingmandate capturing and analyzing integrity check alerts to address potential issues, as detailed in theSwift Security Best Practices
.Conclusion: Correct.
Step 3: Conclusion and Verification
The correct answers areB and C, as these align withControl 2.7andControl 6.1requirements for database integrity and monitoring in theCSCF v2024.
References
* Swift Customer Security Controls Framework (CSCF) v2024, Control 2.7: Database Integrity, Control
6.1: Security Event Logging.
* Swift Security Best Practices, Section: Database Security.
NEW QUESTION # 97
For which reasons (as per the "CSP Independent Assessment Process for Assessors Guidelines") is it required to keep minutes of all key meetings related to a CSP assessment process (examples: kick-off, scope definition, exit meeting)? (Select all answers that apply)
*Swift Customer Security Controls Policy
*Swift Customer Security Controls Framework v2025
*Independent Assessment Framework
*Independent Assessment Process for Assessors Guidelines
*Independent Assessment Framework - High-Level Test Plan Guidelines
*Outsourcing Agents - Security Requirements Baseline v2025
*CSP Architecture Type - Decision tree
*CSP_controls_matrix_and_high_test_plan_2025
*Assessment template for Mandatory controls
*Assessment template for Advisory controls
*CSCF Assessment Completion Letter
*Swift_CSP_Assessment_Report_Template
- A. To be uploaded in KYC-SA at the end of the assessment (mandated by SWIFT)
- B. To keep key information that can be used as input for the next step in the assessment process
- C. To support quality review (audit) processes
- D. For documentation purpose
Answer: B,C,D
Explanation:
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.
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NEW QUESTION # 98
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