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Question1: To determine if a misrepresentation in the offer or sale of any securities is material a fraud examiner should answer which of the following questions?
Question2: The________________requires that an employee act solely in the best interest of their employer, free of any serf-dealing, conflicts of interest, or other abuse that results in a personal advantage
Question3: The same customer comes into a casino each day and deposits a large amount of cash into an account but after very little gambling the customer withdraws the funds The casino employees suspect that the customer may be engaged in money laundering activity Assuming that the anti-money laundering (AML) regulations that govern the casino's activities correspond to the Financial Action Task Force (FATF) Recommendations the casino:
Question4: Which of the following is NOT one of the elements that the government must prove to establish a violation of a law criminalizing false statements to government agencies?
Question5: Which of the following statements concerning the appointment of expert witnesses at that is accurate?
Question6: Each day, Rachel purchases $14 500 in bearer instruments with cash from a bank where all currency transactions above 515,000 must be reported to the government Rachets actions are a red flag of which of the following schemes'?
Question7: Company A sued Company B to recover damages tor the breach of a contract. In the same proceeding Company B sought damages for an allegation that Company A fraudulently induced Company B into entering the contract In this case what would Company B's claim against Company A be called?
Question8: A prosecutor died criminal charges against Rosa calming that she stole Juan's personal information and sold his identity on the dark web Juan wants to file a civil lawsuit against Rosa to recover damages arising from the identity theft Can Juan file the civil action before the criminal action against Rosa is completed?
Question9: Which of the following describes the purpose of an expert witness testimony at trial?
Question10: Smith, a Certified Fraud Examiner (CFE). works for the ABC Company, a private entity that operates w\ a jurisdiction with civil laws for defamation, invasion of privacy. and conflict of interest Smith seizes and searches the personal smartphone of Green an employee of ABC even though Green was not suspected of any wrongdong Assuming that Green had a reasonable expectation of privacy in the smartphone and Smith conducted the search without a legitmate interest or authority, under which of the following claims would Green MOST LIKELY be able to recover damages against Smith?
Question11: The Financial Action Task Force (FATF) Recommendations advise countries to do all of the following EXCEPT:
Question12: One of the purposes of securities regulation is to maintain market confidence.
Question13: Tatiana is the chief executive officer (CEO) of Mattress World Warehouse, a retail mattress store that has been struggling financially A week before Mattress World Warehouse files for bankruptcy Tatiana sets ten mattresses to her husband at 80% below market value Which type of fraud scheme has Tatiana MOST LIKELY committed?
Question14: Which of the following situations would constitute a violation of the US Foreign Corrupt Practices Act (FCPA)
Question15: During an internal investigation Todd a Certified Fraud Examiner (CFE) interviewed Janessa a fraud suspect Although Janessa wanted to leave in the middle of the interview, Todd blocked the exit and prevented her from leaving Janessa subsequently confessed to committing fraud If under these facts Janessa files a lawsuit (or false imprisonment against Todd, Todd will likely
Question16: Which of the following is generally NOT one of the goals of deferred prosecution agreements?
Question17: Which of the following statements concerning digital currencies, such as bitcoin, is MOST ACCURATE?
Question18: Which of the following statements concerning the appointment of expert witnesses at that is accurate?
Question19: Under the best practices listed in the Financial Action Task Force (FATF) Recommendations concerning large cash transactions with customers which of the following transactions would require a report to be Wed with the government?
Question20: Which of the following is a legal element that the government must show to prove a cnminal conspiracy?
Question21: Cory has been charged with lax evasion for filing a false tax return. As a defense, Cory claims that he made an honest mistake due to the tax law's complexity, and he did not intentionally submit an incorrect tax return If the court finds that his mistake was in good faith the most likely will NOT be found to have "willfully'" engaged m fraudulent actions to avoid reporting or paying his taxes.
Question22: In most civil law systems, the burden of proof for the government to convict a defendant in a criminal case is beyond a reasonable doubt.
Question23: Which of the following statements concerning judgments involving parties in multiple jurisdictions is MOST ACCURATE?
Question24: All of the following are methods of pretrial civil discovery commonly found in common law jurisdictions EXCEPT:
Question25: The government filed a avil action against a politician for accepting real estate as a bribe. There is a possibility that the politician could transfer the real estate to a third party before the court enters a final judgment Which type of order should the government seek from the court to prevent the politician from transferring the real estate?
Question26: Which of the following statements regarding civil lawsuits in most jurisdictions is CORRECT?
Question27: Before her criminal trial for embezzlement Monique contacts witnesses against her and offers to pay them if they change their stories Based on her actions the government would MOST LIKELY bring additional charges against Monique for:
Question28: Which of the following is a red flag that an entity is operating a security business without the proper license or registration?
Question29: Evidence that tends to make some tact at issue more or less likely than it would be without the evidence is called:
Question30: Which of the following scenarios is an example of the criminal sanction known as criminal forfeiture?
Question31: Under the World Bank Principles for Effective Insolvency and Credit/Debtor Regimes (World Bank Principles), which of the following parties should administer the debtor's estate in liquidation bankruptcy proceedings?
Question32: Nora, a health care provider b convicted of health care fraud in criminal court After her conviction, the national health agency begins a proceeding to prohibit Nora from seeking reimbursement from government health care programs for five years Which type of administrative penalty is the national health agency seeking?
Question33: Frederick has multiple high-volume foreign bank accounts. The country he lives in requires him to report such accounts annually for tax purposes but he regularly and intentionally fails to report his accounts in order to reduce the amount of taxes he must pay. Which of the following schemes has Frederick MOST LIKELY committed?
Question34: Greg is serving as an expert witness and is being cross-examined at trial. The questioning party gets Greg to state that he spent considerable time working on a certain issue in the case. Then the questioning party asks many questions on a tangential issue in the case that Greg knows little about. Which of the following describes the questioning party's method?
Question35: In systems using adversarial processes, an attorney may impeach an opposing party's witness by showing that the witness:
Question36: The Financial Action Task Force (FATF) Recommendations slate that a financial institution s customer due diligence (COD) procedures should include continued monitoring of a customer's business relationships and transactions.
Question37: Which of the following is the MOST ACCURATE statement about the UK Bribery Act?