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.A list of approved suppliers that have been added to the outsourcing policy.
• B.Outsourcing of the policy writing to an accounting firm at least once every 3 years.
• 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.

Under the previous Basel II approach, which was not an approach for operational risk?

• A.Alternative Measurement Approach (AMA).
• B.Advanced Measurement Approach (AMA).
• C.Basic Indicator Approach (BIA).
• D.The Standardized Approach (TSA).

In operational resilience, what is impact tolerance?

• A.Impact tolerance is a firm's tolerance for disruption to a particular business process.
• B.Impact tolerance is a firm's tolerance for disruption to a particular business service.
• C.Impact tolerance is a firm's risk capacity statement.
• D.Impact tolerance is a firm's risk appetite statement.

Confidence Accounting can be defined as:

• A.An approach that encourages companies and audit firms to use ranges, rather than discrete numbers, for major accounting entries.
• B.An approach that encourages companies and audit firms to use regular statements in their Al software.
• C.An approach that encourages companies and audit firms to stop using figures and maths.
• D.An approach that encourages companies and audit firms to have diverse boards.

Ideally, the facilitator of a risk assessment workshop should:

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