Continuous Automated Compliance Validation CT-FT Practice Questions (Page 1)

Questions 1–5

1. 1foundation · easy

   What is a common challenge of continuous automated compliance validation?

   • AIt eliminates the need for compliance expertise
   • BIt guarantees that all compliance issues are found
   • CIt is only applicable to small organizations
   • DIt can generate false positives that require manual investigation
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2. 2foundation · easy

   Which of the following is a limitation of continuous automated compliance validation?

   • AIt requires no human involvement once set up
   • BIt is only useful for regulatory compliance, not internal policies
   • CIt is unable to detect any compliance issues
   • DIt requires ongoing maintenance of the automated checks and rules
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4. 3foundation · easy

   How does the approach of continuous automated compliance validation differ from periodic compliance testing?

   • AContinuous validation is performed only after release, while periodic testing is done before release
   • BContinuous validation is reactive, while periodic testing is proactive
   • CContinuous validation is integrated into the development process, while periodic testing is a separate activity
   • DPeriodic testing uses automated tools, while continuous validation relies on manual checks
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5. 4application · medium

   A financial services firm wants to automate compliance checks for their loan origination system. They use a CI/CD pipeline for deployments and want to validate that every release adheres to lending regulations. Which tool or technology is most appropriate for embedding these checks directly into the pipeline?

   • AA static analysis tool that scans code for security vulnerabilities only.
   • BA spreadsheet-based control checklist updated manually after each release.
   • CA policy-as-code tool that runs automated checks as a pipeline stage.
   • DA manual approval gate in the pipeline that requires a compliance officer to sign off each release.
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6. 5application · medium

   A financial institution is implementing continuous automated compliance validation for the first time. They want to follow best practices to ensure the system is reliable and maintainable. Which practice is most important to adopt?

   • AUse the same set of checks for all systems, regardless of risk level.
   • BRun the checks only when a compliance officer manually triggers them.
   • CAvoid documenting the automated checks to keep the process agile.
   • DDefine clear, testable compliance rules and review them regularly.
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