ACE Industry Regulations & Compliance 3

Question 1

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

Accepted Answer

Federal investigations and bankruptcy proceedings

Answer

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

Question 2

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

Accepted Answer

Audit work papers must be retained for 7 years

Answer

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

Question 3

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?

Accepted Answer

Adverse inference instructions to the jury

Answer

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.

Question 4

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

Accepted Answer

NIST SP 800-61

Answer

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

Question 5

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?

Accepted Answer

Administrative safeguards

Answer

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

(ACE) AccessData Certified Examiner Practice Test

(ACE) AccessData Certified Examiner Practice Test

ACE Industry Regulations & Compliance 3