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5 Written questions

5 Matching questions

  1. Prohibition
  2. Facilitation payments
  3. Title III
  4. Dodd Frank Wall Street
  5. Consumer Financial Protection Bureau
  1. a Which title required CEOs and CFOs to certify quarterly and annual reports to the SEC?
  2. b Payments that are accceptable (legal) provided they expedite secure the performance of a routine governmental action refers to ______.
  3. c 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.
  4. d The ________________ is a government agency within the Federal Reserve that oversees financial products and services
  5. e (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 Multiple choice questions

  1. The ______contains six principles that "were intended to promote sound management practices, to ensure that companies were in compliance with complex regulations, and to restore public confidence in the defense industry."
  2. (FSGO) The calculation of a degree of blame or guilt that is used as a multiplier of up to 4 times the base fine. The culpability score can be adusted according to aggravating or mitigating factors.
  3. Facilitating payments to foreign officials in order to expedite or secure the performance of a routine governmental action is know as a _________.
  4. (FCPA) Any regular administrative process or procedure, excluding any action taken by a foreign official in the decision to award new or continuing business.
  5. Fortunately, if a bribe is unsuccessful, the company connot be found in violation of the FCPA. (true/false)

5 True/False questions

  1. The Death PenaltyThe 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.

          

  2. Disclosure, Prohibition(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.

          

  3. $10,000.00Prior to the passing of the Foreign Corrupt Practices Act (FCPa), illegal behavior was punishable only through the ______ sources of legislation.

          

  4. 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.

          

  5. 5 yearsWhat is the maximum term of organizational prohibition?