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Regulatory Frameworks & Compliance Standards Flashcards

7 cards from real CCT practice questions. Tap to flip, then mark Knew It or Still Learning — missed cards come back until you master them.

Read the first 7 Regulatory Frameworks & Compliance Standards flashcards as text

  1. Under the Dodd-Frank Wall Street Reform and Consumer Protection Act, which agency was created to protect consumers of financial products and services?

    Answer: Consumer Financial Protection Bureau (CFPB)

    The Dodd-Frank Act created the CFPB in 2010 to supervise and enforce consumer financial protection laws.

  2. Which OSHA standard requires employers to establish a written Hazard Communication program and train employees on chemical hazards?

    Answer: 29 CFR 1910.1200 (HazCom)

    OSHA's Hazard Communication Standard (29 CFR 1910.1200) requires chemical manufacturers and employers to communicate hazards through labels, SDS, and training.

  3. A Suspicious Activity Report (SAR) must be filed with FinCEN within how many days of initial detection of suspicious activity?

    Answer: 30 days

    Financial institutions must file a SAR within 30 days of the date they initially detected the facts that may constitute a basis for filing.

  4. The Americans with Disabilities Act (ADA) Title I applies to employers with how many or more employees?

    Answer: 15

    ADA Title I applies to employers with 15 or more employees, prohibiting discrimination against qualified individuals with disabilities.

  5. Which international standard provides a framework for establishing, implementing, and maintaining an Information Security Management System (ISMS)?

    Answer: ISO 27001

    ISO/IEC 27001 is the international standard for information security management systems and provides requirements for establishing an ISMS.

  6. The Equal Employment Opportunity Commission (EEOC) requires employers to retain personnel and employment records for a minimum of how long?

    Answer: 1 year

    EEOC regulations require covered employers to retain personnel records, including job applications and related records, for at least one year.

  7. Under the Clean Air Act, which program requires facilities with large quantities of hazardous chemicals to develop risk management plans?

    Answer: Risk Management Program (RMP)

    EPA's Risk Management Program under Clean Air Act Section 112(r) requires facilities using regulated substances above threshold quantities to develop RMPs.