A publicly traded bank is implementing a new system for financial reporting. The system will also store customer personal data. The compliance team must design tests to satisfy SOX and GDPR. Which testing strategy is most effective?

Test internal controls over financial reporting and test data subject access rights.

Test only data subject access rights, as GDPR is more recent.

Test that the system separates financial data and personal data into different modules.

Test only internal controls over financial reporting, as SOX is the primary regulation for public companies.

A multinational company's finance system stores personal data of EU customers. The compliance team is planning tests to meet GDPR requirements. Which testing scenario is most directly required by GDPR?

Verify that a user can request and receive a copy of their personal data in a portable format.

Ensure that the general ledger balances at month-end.

Validate that the system prevents duplicate customer records.

Test that the system calculates interest accruals correctly for loan products.

A publicly traded company is preparing for an external audit under SOX. The IT team is updating the financial reporting system. Which testing focus is most aligned with SOX compliance?

Testing that the system automatically backs up data to an offsite location.

Testing that the user interface is accessible to users with disabilities.

Testing that access to the system is restricted and changes are logged with an audit trail.

Testing that the system can handle peak transaction volumes without performance degradation.

Certified Tester Finance Testing

Domain 2Objective 2

Key Financial Regulations and Their Testing Relevance CT-FT Practice Questions (Page 2)

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 24 practice questions to prepare you well beyond it. (estimate)

24questions here

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Questions 6–10

6expert · hard
A publicly traded bank is implementing a new system for financial reporting. The system will also store customer personal data. The compliance team must design tests to satisfy SOX and GDPR. Which testing strategy is most effective?
Select an answer first
7application · medium
A multinational company's finance system stores personal data of EU customers. The compliance team is planning tests to meet GDPR requirements. Which testing scenario is most directly required by GDPR?
Select an answer first
8application · medium
A bank is testing a new system that processes credit card transactions. Which regulation's testing requirements are most directly applicable?
Select an answer first
9application · medium
A publicly traded company is preparing for an external audit under SOX. The IT team is updating the financial reporting system. Which testing focus is most aligned with SOX compliance?
Select an answer first
10foundation · easy
Which regulation is primarily concerned with protecting the personal data of individuals within the European Union?
Select an answer first

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Key Financial Regulations and Their Testing Relevance CT-FT Practice Questions (Page 2)

Questions 6–10

A publicly traded bank is implementing a new system for financial reporting. The system will also store customer personal data. The compliance team must design tests to satisfy SOX and GDPR. Which testing strategy is most effective?

A multinational company's finance system stores personal data of EU customers. The compliance team is planning tests to meet GDPR requirements. Which testing scenario is most directly required by GDPR?

A bank is testing a new system that processes credit card transactions. Which regulation's testing requirements are most directly applicable?

A publicly traded company is preparing for an external audit under SOX. The IT team is updating the financial reporting system. Which testing focus is most aligned with SOX compliance?

Which regulation is primarily concerned with protecting the personal data of individuals within the European Union?

Keep studying — Compliance Testing