A financial institution's system fails to comply with a regulation requiring that all customer data be deleted upon request. The compliance team is categorizing the consequences. Which consequence is primarily a legal impact?

The institution's IT team must manually delete the data.

The institution faces a lawsuit from a customer whose data was not deleted.

The institution must pay for additional storage to keep the data.

The institution loses customer trust.

A compliance tester is writing test cases for a system that must comply with a regulation requiring that all customer transactions be approved by a second person before execution. Which test case would best verify this compliance requirement?

Verify that the system can execute transactions quickly.

Verify that the system's user interface is intuitive.

Verify that the system can handle multiple users simultaneously.

Attempt to execute a transaction without a second approval and verify that the system blocks it.

A financial institution's system fails to apply a new regulation that requires a cooling-off period for certain investment products. The compliance team is assessing the consequences. Which consequence is most directly a financial impact?

The institution must refund customers who were not given the cooling-off period.

The institution's IT team must update the system.

The institution's reputation is damaged.

The institution's legal team must review the regulation.

What does 'likelihood' refer to in the context of assessing non-compliance consequences?

The probability that a non-compliance event will occur

The time required to detect non-compliance

The potential financial impact of a consequence

The number of regulations that apply

Which of the following is a financial consequence of non-compliance?

Disruption of business processes

Legal action against the organization

Certified Tester Finance Testing

Domain 2Objective 3

Consequences of Non-Compliance CT-FT Practice Questions (Page 3)

Part of the Compliance Testing domain, which makes up ~23% of our current practice bank. ISTQB does not publish an official question count, but from its 60-minute exam (~25–40 total, ~6–9 in this domain), expect 1–2 from this objective — we provide 23 practice questions to prepare you well beyond it. (estimate)

23questions here

5free pages

4concepts

Questions 11–15

11application · medium
A financial institution's system fails to comply with a regulation requiring that all customer data be deleted upon request. The compliance team is categorizing the consequences. Which consequence is primarily a legal impact?
Select an answer first
12application · medium
A compliance tester is writing test cases for a system that must comply with a regulation requiring that all customer transactions be approved by a second person before execution. Which test case would best verify this compliance requirement?
Select an answer first
13application · medium
A financial institution's system fails to apply a new regulation that requires a cooling-off period for certain investment products. The compliance team is assessing the consequences. Which consequence is most directly a financial impact?
Select an answer first
14foundation · easy
What does 'likelihood' refer to in the context of assessing non-compliance consequences?
Select an answer first
15foundation · easy
Which of the following is a financial consequence of non-compliance?
Select an answer first

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