CAS-004 Governance, Risk, and Compliance Practice Question
A security manager is developing a third-party risk management program. The organization wants to ensure that vendors handling sensitive data are subject to appropriate oversight. Which two of the following are the most effective methods for ongoing monitoring of a vendor's security posture? (Choose two.)
⚠ Common exam trap
The trap here is considering self-attestation or marketing claims as sufficient for vendor monitoring, when independent verification is necessary.
Answer choices
Why each option matters
Answer the question above first, then reveal the full breakdown to understand why each option is right or wrong.
Correct answer & explanation
✓
Conducting periodic on-site security assessments of the vendor
Effective ongoing vendor monitoring requires objective, independent evidence of security controls. SOC 2 Type II reports provide third-party attestation over time, and periodic on-site assessments allow direct verification. Other options like marketing materials, self-attestation, and stock price monitoring lack the rigor and specificity needed for security oversight.
Answer analysis
Option-by-option breakdown
For each option: why learners choose it and why it is or isn't the right answer here.
- ✗
Asking the vendor to self-attest to security compliance annually
Why it's wrong here
Self-attestation can be easily falsified or based on incomplete information, and it lacks independent verification. While it may be a starting point, it is not an effective method for ongoing monitoring because it does not provide objective assurance. The organization should seek independent validation to truly understand the vendor's security posture.
- ✓
Conducting periodic on-site security assessments of the vendor
Why this is correct
Periodic on-site assessments allow the organization to directly verify the vendor's security controls, practices, and compliance with contractual requirements. They provide firsthand evidence and can uncover issues not visible in documentation. This method is effective for ongoing monitoring, especially for critical vendors, and complements other oversight activities.
- ✗
Reviewing the vendor's marketing materials for security claims
Why it's wrong here
Marketing materials are not a reliable source for assessing a vendor's security posture. They are designed to promote the vendor and may contain unverified or exaggerated claims. Relying on them for ongoing monitoring is ineffective and does not provide objective evidence of security controls. This method should not be used for vendor risk oversight.
- ✓
Requiring the vendor to provide annual SOC 2 Type II reports
Why this is correct
SOC 2 Type II reports provide independent attestation of a vendor's controls over a period of time, offering ongoing assurance about security, availability, and confidentiality. They are a widely accepted method for monitoring vendor security posture and can reveal control gaps. Annual reports help maintain continuous oversight and are a key component of third-party risk management.
- ✗
Monitoring the vendor's stock price for fluctuations
Why it's wrong here
Stock price fluctuations are influenced by many factors unrelated to security posture, such as market conditions, financial performance, and industry trends. They do not provide specific insight into the vendor's security controls or compliance. Therefore, monitoring stock price is not a valid method for ongoing vendor security monitoring.
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JA
Written and reviewed by Johnson Ajibi, MSc IT Security
Senior Network & Security Engineer · founder of Courseiva
Last reviewed September 2026 · checked against the official CompTIA exam blueprint
This CAS-005 practice question is part of Courseiva's free CompTIA certification practice question bank. Courseiva provides original exam-style practice questions with explanations, topic-based practice, mock exams, readiness tracking, and study analytics to help learners prepare for the CAS-005 exam.