8020 試験問題を無料オンラインアクセス

Compliance departments traditionally provide policy, oversight, and set the standards for monitoring personal dealing. Which control below would assist in implementing such policies?

• A.Outsourcing of the policy writing to an accounting firm at least once every 3 years.
• B.A list of approved suppliers that have been added to the outsourcing policy.
• C.Outsourcing of the policy writing to an accounting firm at least once every 5 years.
• D.Watch lists of stocks that are not allowed to be traded for a period of time, for instance, ahead of a securities offering that the firm is managing.

Stafford Beers Viable System Model (VSM) has several implementation elements. Which of the following is not one of these?

• A.Process
• B.Governance
• C.Input
• D.Output

Ideally, the facilitator of a risk assessment workshop should:

• A.Remain objective and refrain from expressing his or her own opinions.
• B.Remind the attendees that they can override the results of the workshop once the risks are tallied.
• C.Attend via a video connection to allow proper distance.
• D.Guide the workshop toward a pre-determined conclusion, based upon known industry identified risks.

How should Near Misses and Opportunity Costs be treated within Operational Risk?

• A.Reported, Recorded and Analyzed, Used in calculation of Operational Risk Capital.
• B.Reported. Recorded and Analyzed. Not Used in calculation of Operational Risk Capital.
• C.Recorded and Analyzed. Used in calculation of Operational Risk Capital.
• D.Ignored.

Which of the following is a correct statement about control rating scales?

• A.They are enhanced by the use of software that includes inherent risk.
• B.A control rating scale should consider neither control effectiveness or control performance.
• C.A control rating scale should consider control effectiveness but not control performance.
• D.A control rating scale should consider both control effectiveness and control performance.