Question No. 1

What is the first step in addressing the issue of Regulatory Compliance?

• A. Identifying owners for regulation-related controls
• B. Clearly and consistently documenting corporate policies, including mapping those policies to industry regulations
• C. Implementing a policy lifecycle maintenance process
• D. Testing corporate controls to identify current gaps in compliance

Question No. 2

If you have multiple searching relationships in your search, which search results format is best for a non-grouped format?

• A. Row
• B. Summary
• C. Column – Flat
• D. Column – Hierarchical

Question No. 3

Which is true about Advanced Workflow?

• A. It completely eliminates the need for data-driven events
• B. It should only be used for self-assessments
• C. It limits the capabilities of calculated fields
• D. It leverages data-driven events, calculations, and email notifications