IIA-CFSA Exam Questions Tutorials

Certified Financial Services Auditor Questions and Answers

Question 33

Which one of the annuities, mentioned below, is not regulated by the SEC:

Options:

Fixed annuities

Variable annuities

Mixed annuities

Expired annuities

Question 34

Some organizations have information protection policies that place the burden of information protection on managers in individual organizational units. An information protection policy may include:

Options:

Statements that define information as an asset that must be protected to different degrees based on its sensitivity, criticality, and value, regardless of the media on which it is stored, the manual or automated systems that process it, or the methods by which it is distributed

Statements outlining the responsibilities of information owners, custodians and users

Definitions of the previously audited data and its classifications

Both A & B

Question 35

Due from bank balances are used to:

Options:

Ensure liquid reserves

Protect stored data

Restrict physical access to cardholder

Facilitate the transfer of funds and to use as compensation for correspondent bankingservices

Question 36

___________ are investment securities that do not fall under one of the other types of securities. Examples of these are Type III securities including corporate bonds and municipal bonds.

Options:

Type II Securities

Type III Securities

Type I Securities

Type IV Securities

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Certified Financial Services Auditor Questions and Answers

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CompTIA

Fortinet

Microsoft

Salesforce