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Risk and Compliance Re-validation test for all Advisers.

Information Security & Vulnerable Customers

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* 1. Your name

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* 2. Your email address

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* 3. ATTESTATION. Before completing this test, please confirm that you have watched the learning material for the following subjects:

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* 4. VULNERABILITY. There are four key categories of vulnerability as defined by the FCA. Which of the following is NOT one of those four categories?

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* 5. VULNERABILITY. In the TEXAS model for handling vulnerability disclosures, what is the purpose of the 'X' step?

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* 6. VULNERABILITY. According to the FCA's Financial Lives survey data published in May 2025, what proportion of the UK adult population demonstrates characteristics of vulnerability?

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* 7. VULNERABILITY. What do we advise AGAINST doing when you suspect a client might be vulnerable?

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* 8. VULNERABILITY. For a client with a significant and unexplained build-up of debt, what is the recommended first step for an adviser to take?

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* 9. INFORMATION SECURITY. What are the primary causes of most cyber breaches, including those at both M&S and Jaguar Land Rover?

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* 10. INFORMATION SECURITY. Why is an authenticator app with face/finger ID considered more secure for Multi-Factor Authentication (MFA) than receiving a code via a text or email?

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* 11. INFORMATION SECURITY. To protect data on a portable device if it is lost or stolen, we recommend the use of a specific security feature. What is it?

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* 12. INFORMATION SECURITY. What did we say is the primary risk associated with inputting client information into a public AI system like ChatGPT?

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* 13. INFORMATION SECURITY. What is the primary reason for keeping all of your software and computer systems up-to-date?

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* 14. INFORMATION SECURITY. Who do Finance Planning need to report data breaches to, where a client's personal and sensitive information has been compromised?

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* 15. INFORMATION SECURITY. If you click on a suspicious link by mistake, what is the correct procedure according to the advice given in the webinar?

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