Industry Regulations & Compliance Flashcards

The Sarbanes-Oxley Act (SOX) Section 802 makes it a federal crime to destroy, alter, or falsify records in what context?

Answer: Federal investigations and bankruptcy proceedings

SOX Section 802 criminalizes destruction or falsification of records in connection with federal investigations and bankruptcy proceedings, with penalties up to 20 years imprisonment.

When a forensic examiner works on a case involving a publicly traded company, which obligation does SOX impose regarding electronic records retention?

Answer: Audit work papers must be retained for 7 years

SOX requires auditors to retain audit work papers and related records for 7 years after completing the audit.

Under the Federal Rules of Civil Procedure (FRCP) Rule 37(e), what sanction may a court impose if a party fails to preserve electronically stored information (ESI) due to a failure to take reasonable steps?

Answer: Adverse inference instructions to the jury

FRCP Rule 37(e) allows courts to instruct the jury to draw an adverse inference against a party that failed to preserve ESI through culpable conduct.

Which NIST publication provides the primary framework for computer security incident handling and is commonly referenced in forensic compliance procedures?

Answer: NIST SP 800-61

NIST SP 800-61, 'Computer Security Incident Handling Guide,' is the foundational reference for establishing incident response procedures in compliance frameworks.

A forensic investigator is examining a healthcare organization's systems. Under HIPAA's Security Rule, which category of safeguards requires workforce training and security policies?

Answer: Administrative safeguards

HIPAA's Administrative Safeguards include workforce security training, security management processes, and written policies — the organizational rather than technical controls.

What is the primary legal concern when a forensic examiner acquires a forensic image of an employee's personal smartphone that was used for both business and personal purposes?

Answer: Fourth Amendment and employee privacy rights under state law

BYOD investigations raise Fourth Amendment issues and state privacy law concerns because employees retain a reasonable expectation of privacy in personal data on their devices.

The Gramm-Leach-Bliley Act (GLBA) Safeguards Rule requires financial institutions to implement a comprehensive information security program primarily to protect what type of information?

Answer: Nonpublic personal information (NPI) of customers

GLBA's Safeguards Rule mandates that financial institutions protect nonpublic personal information (NPI) of their customers through a written, comprehensive security program.