Soc2 AI Questions

Question 1

What does the SOC in SOC 2 stand for?
A. Service Organization Control
B. Security Operations Center
C. Systems of Compliance
D. Standardized Operations Criteria

Answer 1

A

Question 2

Which of the following is the primary focus of SOC 2?
A. Financial audits
B. Cybersecurity controls
C. Internal controls related to Trust Service Categories
D. GDPR compliance

Answer 2

C

Question 3

How often are SOC 2 Type 2 audits typically conducted?
A. Every 3 years
B. Annually
C. Bi-annually
D. Quarterly

Answer 3

B

Question 4

Which Trust Service Category is mandatory for all SOC 2 reports?
A. Availability
B. Confidentiality
C. Processing Integrity
D. Security

Answer 4

D

Question 5

Which Trust Service Category relates to ensuring that systems are available for operation and use?
A. Security
B. Availability
C. Confidentiality
D. Privacy

Answer 5

B

Question 6

Which Trust Service Category addresses the protection of personal information?
A. Security
B. Processing Integrity
C. Confidentiality
D. Privacy

Answer 6

D

Question 7

What is the key difference between SOC 2 Type 1 and Type 2?
A. Type 1 evaluates controls at a specific point in time, Type 2 evaluates operational effectiveness over time
B. Type 1 evaluates financial statements, Type 2 evaluates IT systems
C. Type 1 includes a detailed audit, Type 2 does not
D. Type 1 is issued by AICPA, Type 2 is not

Answer 7

A

Question 8

What is the minimum duration for a SOC 2 Type 2 audit?
A. 1 month
B. 3 months
C. 6 months
D. 1 year

Answer 8

B

Question 9

Who primarily uses SOC 2 reports?
A. Regulators
B. Internal auditors
C. Customers and third-party stakeholders
D. HR teams

Answer 9

C

Question 10

Which of the following is NOT part of the SOC 2 audit process?
A. Identifying applicable Trust Service Criteria
B. Testing the effectiveness of controls
C. Assessing financial statement accuracy
D. Issuing a final report

Answer 10

C

Question 11

Which of the following is an example of a security control?
A. Firewall configurations
B. Data retention policies
C. Server uptime reports
D. Employee satisfaction surveys

Answer 11

A

Question 12

What is an example of a confidentiality control?
A. Use of encryption for sensitive data
B. Disaster recovery planning
C. Server response times
D. Third-party vendor management

Answer 12

A

Question 13

Which framework forms the basis of SOC 2 audits?
A. ISO 27001
B. NIST CSF
C. COSO
D. COBIT

Answer 13

C

Question 14

What does the auditor issue at the end of a SOC 2 audit?
A. Certification of compliance
B. SOC 2 report
C. Risk assessment summary
D. GDPR compliance checklist

Answer 14

B

Question 15

What type of testing is used in a SOC 2 Type 2 audit to evaluate control effectiveness?
A. Sampling and observation
B. Theoretical modeling
C. Statistical prediction
D. Simulated breaches

Answer 15

A

Question 16

Which of the following is critical in preparing for a SOC 2 audit?
A. Conducting a readiness assessment
B. Hiring internal IT auditors
C. Setting up an ISO 9001 program
D. Completing a self-assessment only

Answer 16

A

Question 17

Which of the following would trigger a qualified SOC 2 report?
A. All controls operating effectively
B. Some controls not meeting criteria
C. No applicable Trust Service Categories
D. Auditor not accredited by AICPA

Answer 17

B

Question 18

What is typically done after a failed SOC 2 audit?
A. Repeat the audit immediately
B. Address deficiencies and undergo remediation
C. Abandon the audit process
D. Request exemption from compliance

Answer 18

B

Question 19

What is a common challenge for organizations during a SOC 2 audit?
A. Lack of employee interest
B. Documenting and implementing controls
C. Ensuring physical security only
D. Selecting Trust Service Categories

Answer 19

B

Question 20

Which type of evidence is often used in SOC 2 audits?
A. Video recordings
B. Logs and system configurations
C. Employee feedback surveys
D. Market research reports

Answer 20

B

Question 21

Which Trust Service Category focuses on system processing being complete, valid, and accurate?
A. Privacy
B. Processing Integrity
C. Availability
D. Confidentiality

Answer 21

B

Question 22

What is the primary purpose of a readiness assessment in SOC 2 preparation?
A. To perform the audit
B. To identify gaps in controls
C. To certify compliance
D. To design new IT systems

Answer 22

B

Question 23

Who is responsible for defining the scope of a SOC 2 audit?
A. The auditor
B. The client organization
C. AICPA
D. Regulators

Answer 23

B

Question 24

Which of the following is an example of a monitoring control?
A. Encryption of sensitive data
B. Reviewing access logs regularly
C. Disaster recovery planning
D. Incident response policies

Answer 24

B

Question 25

What happens if significant deficiencies are found during a SOC 2 audit? A. A qualified opinion is issued B. An unqualified opinion is issued C. The report is withdrawn D. The audit is canceled

Answer 25

A

Question 26

Which of the following is a critical component of access control in SOC 2 audits? A. Using strong encryption B. Implementing role-based access C. Monitoring uptime D. Conducting surveys

Answer 26

B

Question 27

Which organization developed the Trust Service Criteria for SOC 2? A. ISO B. AICPA C. NIST D. ISACA

Answer 27

B

Question 28

Which phase of the SOC 2 audit involves evidence collection? A. Planning phase B. Execution phase C. Final reporting phase D. Scope determination phase

Answer 28

B

Question 29

What is the role of a subservice organization in SOC 2? A. They assist in creating controls B. They handle outsourced services that impact the audited organization's controls C. They approve the audit results D. They validate the auditor's credentials

Answer 29

B

Question 30

What does a carve-out method in SOC 2 reporting mean? A. Excluding controls for certain Trust Service Categories B. Excluding certain subservice organizations from the audit scope C. Including only financial controls D. Including only GDPR compliance controls

Answer 30

B

Question 31

How should an organization prepare for the availability Trust Service Category? A. Implement encryption controls B. Conduct penetration testing C. Establish disaster recovery plans D. Monitor server temperatures

Answer 31

C

Question 32

Which document is crucial for auditors to begin a SOC 2 audit? A. IT system architecture B. Control design policies C. Statement of Applicability D. Engagement letter

Answer 32

D

Question 33

What is a key focus of the privacy Trust Service Category? A. Encryption protocols B. Third-party risk management C. Handling personal data in accordance with defined objectives D. Disaster recovery policies

Answer 33

C

Question 34

How does a SOC 2 report benefit customers? A. It reduces IT costs for customers B. It provides assurance about the service provider's controls C. It guarantees GDPR compliance D. It eliminates the need for vendor contracts

Answer 34

B

Question 35

What is the significance of an unqualified opinion in a SOC 2 report? A. The auditor identified several deficiencies B. All controls are designed and operating effectively C. The report scope was limited D. The auditor disagreed with management

Answer 35

B

Question 36

Which of the following is NOT part of the AICPA Trust Service Criteria? A. Risk and security B. Information privacy C. IT service management D. System availability

Answer 36

C

Question 37

What is a bridge letter in SOC 2 compliance? A. A letter used to certify ISO compliance B. A document that covers the gap between audit periods C. A template for GDPR assessments D. A final report summary

Answer 37

B

Question 38

What does a complementary user entity control (CUEC) refer to in SOC 2? A. A control implemented by the audited organization B. A control that must be implemented by the service user C. A shared control between the auditor and the client D. A control that applies only to external regulators

Answer 38

B

Question 39

Which of the following is essential for SOC 2 Type 2 reporting? A. A one-time review of controls B. Continuous monitoring over time C. Auditing financial statements D. Implementing GDPR-specific policies

Answer 39

B

Question 40

What is the purpose of a management assertion in SOC 2? A. To validate the auditor’s findings B. To declare that controls meet Trust Service Criteria C. To list GDPR compliance requirements D. To summarize audit deficiencies

Answer 40

B