GRC Regulatory and Legal Compliance 4

Question 1

Under the Americans with Disabilities Act (ADA), which title specifically prohibits discrimination by private employers with 15 or more employees?

Accepted Answer

Title I

Answer

Title II

Answer

Title III

Answer

Title IV

Question 2

A healthcare organization receives a subpoena for patient records. Under HIPAA, what should be the organization's first step before disclosing the records?

Accepted Answer

Notify the patient and provide an opportunity to object

Answer

Immediately comply with the subpoena and produce all records

Answer

Consult with the Department of Health and Human Services

Answer

Encrypt the records before transmitting them

Question 3

The concept of 'privacy by design' in regulatory compliance requires that privacy protections be integrated at which stage of system development?

Accepted Answer

From the earliest design phase onward

Answer

During post-deployment audits

Answer

Only when handling sensitive data categories

Answer

After regulatory approval is obtained

Question 4

Which regulatory body oversees compliance with the Fair Credit Reporting Act (FCRA) for most entities?

Accepted Answer

Consumer Financial Protection Bureau (CFPB)

Answer

Securities and Exchange Commission (SEC)

Answer

Federal Reserve Board

Answer

Office of the Comptroller of the Currency (OCC)

Question 5

An organization implements a compliance training program but employees later repeat the same violations. According to the DOJ's guidance on effective compliance programs, what is the most likely deficiency?

Accepted Answer

Training that is not reinforced through consistent enforcement and discipline

Answer

Insufficient training frequency

Answer

Lack of tone at the top

Answer

Failure to use e-learning platforms

Question 6

Under the EU's NIS2 Directive, which sector is newly included compared to the original NIS Directive?

Accepted Answer

Public administration

Answer

Energy

Answer

Transport

Answer

Water supply

Question 7

A company subject to SEC regulations discovers a material cybersecurity incident. Under the SEC's 2023 cybersecurity disclosure rules, within how many business days must it file a Form 8-K disclosure?

Accepted Answer

4 business days

Answer

2 business days

Answer

10 business days

Answer

30 business days