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5 Written questions

5 Matching questions

  1. b)
  2. $10,000.00
  3. true
  4. True
  5. Public Company Accounting Oversight Board
  1. a All of the following are aggravating factors of the culpability score, except:
    a) the organization willfully obstructed justice.
    b) the organization had an effective program to prevent and detect violations of law.
    c) the currrent offense violated a judicial order, injunction, or condition of probation.
    d) high-level personnel were involved in or tolerated the criminal activity.
  2. b (PCAOB) is an independent oversight body for auditing companies. They were charged with maintaining compliance with established standards and enforcing rules and disciplinary procedurees for those organizations that found themselves out of compliance.
  3. c Under FCPA, payments lawful under foreign laws are legal. (true/false)
  4. d The 5 key pieced of legislation designed to discourage, if not prevent, illegal conduct within organizations are:
    - The Foreign Corrupt Practices Act (1977)
    - The US Federal Sentencing Guidelines for Organizations (1991)
    - The Sarbanes Oxley Act (2002)
    - The Revised Federal Sentencing Guidelines for Organizations (2004)
    - The Dodd-Frank Wall Street Reform and Consumer Protection Act (2010) (true/false)
  5. e The SEC may bring civil fines of up to _____ per violation under the FCPA.

5 Multiple choice questions

  1. The introduction of the ______ placed more effective controls over bribing practices and less obvious forms of payment to foreign officials and politicians by American publicly traded companies pursuing internantonal growth.
  2. The ______ holds businesses liable for the criminal acts of their employees and agents.
  3. The SBDC strictly enforces the FCPA. (true/false)
  4. Fortunately, if a bribe is unsuccessful, the company connot be found in violation of the FCPA. (true/false)
  5. The _____ _____ _____ _____ Reform and Consumer Protection Act contains legislation that was promoted as the "fix" for the extreme mismanagement of risk in the financial sector that lead to a global finanial crisis in 2008-2010.

5 True/False questions

  1. US Federal Sentencing CommisionThe two distinct areas the FCPA focuses on is ____ and _____.

          

  2. Title VIIIWhich title protects employees of companyies who provide evidence of fraud?

          

  3. TrueAll of the following are aggravating factors of the culpability score, except:
    a) the organization willfully obstructed justice.
    b) the organization had an effective program to prevent and detect violations of law.
    c) the currrent offense violated a judicial order, injunction, or condition of probation.
    d) high-level personnel were involved in or tolerated the criminal activity.

          

  4. TrueThe Foreign Corrupt Practices Act (FCPA) placed more effective controls over the practice of bribing foreign officials and politicians by American publicly traded companies pursuing international growth. (true/false)

          

  5. MitigatingFactors that can increase the culpability score are called _______ factors

          

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