5 Written questions
5 Matching questions
- Death penalty
- Examples of routine governmental actions
- a The so-called _____ _____ is where the fine is set high enough to match all the organizations assets - and basically put the organization out of business. This is warranted where the organization was operating primarily for a criminal purpose.
- b The SEC may bring civil fines of up to _____ per violation under the FCPA.
- c The first step of an effective compliance program, as prescribed by the FSGO, is management oversight. (true/false)
- d - Providing permits, licenses, or other official documents to qualify a person to do business in a foreign country.
- Processing governmental papers, such as visas and work orders.
- Providing police protection, mail pickup and delivery, or scheduling inspections associated with contract performance or inspections related to transit of goods across a country.
- Providing phone service, power, and water supply; loading and unloading cargo; or protecting perishable products or commodities from deterioration.
- Performing actions or a simular nature.
- e The _____ Rule: Proposed by former Federal Reserve Chairman Paul _____, this rule limits the ability of banks to trade on their own accounts (i.e., invest their own money) in any way that might threaten the financial stability of the institution (and by definition, the financial markets as a whole).
5 Multiple choice questions
- The ______ holds businesses liable for the criminal acts of their employees and agents.
- The ________________ is a government agency within the Federal Reserve that oversees financial products and services
- The two distinct areas the FCPA focuses on is ____ and _____.
- Factors that can increase the culpability score are called _______ factors
- (FCPA) The FCPA inclusion of wording from the Bank Secrecy Act and the Mail Fraud Act to prevent the movement of funds overseas for the express purpose of conducting a fradulent scheme.
5 True/False questions
Dodd Frank Wall Street → Facilitating payments to foreign officials in order to expedite or secure the performance of a routine governmental action is know as a _________.
False → Fortunately, if a bribe is unsuccessful, the company connot be found in violation of the FCPA. (true/false)
Foreign Corrupt Practices Act. → 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.
Compliance program → The 7 steps to and effective _______________ are Management oversight; Corporate policies; Communication of standards and procedures; Compliance with standards and procedures; Delegaation of substantial discretionary authority; Consistent discipline; and Response and Corrective action.
Title III → Which title protects employees of companyies who provide evidence of fraud?