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Which of the following is a red flag that an entity is operating a security business without the proper license or registration?
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?
The concealment of assets occurs most commonly in which of the following types of fraud schemes?
Which of the following statements concerning civil trials in civil law jurisdictions is MOST ACCURATE?
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?
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?
Regarding the litigation privilege in common law jurisdictions, which of the following is the MOST ACCURATE statement?
Which of the following statements regarding using front businesses as a method of laundering money is MOST ACCURATE?
Which of the following scenarios MOST ACCURATELY represents a suitability violation in a jurisdiction that imposes a suitability requirement on broker-dealers?
Which of the following is the MOST ACCURATE statement about rules prohibiting securities broker-dealers from making unsuitable recommendations on investments or investment strategies?
IBC Manufacturing is a private company in a jurisdiction in which the public has the legal right to be free from unreasonable search and seizure by government authorities. An investigator at IBC searches the desk of Denise an IBC employee and finds illegal narcotics. The investigator seizes the narcotics and turns them over to members of law enforcement. The investigator violated Denises rights by failing to obtain a search warrant before conducting the search
In most civil law systems, which of the following parties typically serves as the fact finder in criminal proceedings?
Company A used Company B to recover damages for 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?
Which of the following situations would constitute a violation of the US Foreign Corrupt Practices Act (FCPA)
Which of the following scenarios is an example of the criminal sanction known as criminal forfeiture?
Kamala is conducting a fraud examination in a country where courts apply laws from codified statutes to each case. When deciding legal issues, the courts are not bound by similar court decisions from previous cases. The country where Kamala is working MOST LIKELY has a __________ judicial system.
Which of the following is generally NOT one of the goals of deferred prosecution agreements?
Which of the following is a legal element that the government must show to prove a conspiracy claim?
Which of the following is a requirement of the European Union's (EU) General Data Protection Regulation (GDPR)?
Calvin, an attorney, sends a letter that is protected by a legal professional privilege to Katrina, one of his clients. Upon receiving the letter, Katrina emails it to her coworker who has no need to know the information contained in the letter. Which of the following statements is MOST ACCURATE?
In most countries employers must provide notice to their employees before they implement an employee monitoring program
Consents to searches by government agents that are obtained by force, duress, or bribery are NOT effective under the law and do NOT eliminate the need for a search warrant.
Mya has been retained as an expert witness to provide testimony for a trial. Which of the following statements describes the primary purpose of Mya's testimony?
Jay files for bankruptcy in order to settle all of his debts. During the bankruptcy proceeding, the court sells off his property and uses the proceeds to pay Jay's creditors, thereby discharging all of Jay's dischargeable debts. This type of bankruptcy proceeding can BEST be described as:
The Financial Action Task Force (FATF) Recommendations suggest that countries should do which of the following?
Which of the following is NOT a right of the accused under the United Nations' (UN) International Covenant on Civil and Political Rights (ICCPR)?
Which of the following is the MOST ACCURATE statement about the different types of alternative dispute resolution'?
Which of the following is required for a contract, transaction, or scheme to qualify as an investment contract?
Which of the following would be direct evidence that the criminal defendant a former cashier for a home improvement store committed a cash larceny scheme that resulted in the theft of more than $5 000 from the store?
One of the purposes of securities regulation is to promote an active and competitive market.
Which of the following is TRUE in regard to authenticating evidence in most common law systems?
Jackson believes he has a legal cause of action against Alice, who lives in a foreign country. The fact that Jackson is the plaintiff allows him to bring the lawsuit against Alice in any court in the country where he lives.
Raj is an employee who works in a jurisdiction that prohibits unreasonable workplace searches and surveillance in areas or items where employees have a reasonable expectation of privacy. In which of the following is Raj MOST LIKELY to have a reasonable expectation of privacy?
In systems using adversarial processes, an attorney may impeach an opposing party's witness by showing that the witness:
Evidence that tends to make some tact at issue more or less likely than it would be without the evidence is called:
Which of the following can affect the rights that employees may have during an internal investigation?
Under the Financial Action Task Force (FATF) Recommendations, a financial institution's customer due diligence (CDD) procedures involve a single check on the customer's business relationships and transactions.
Greta obtained money from illegal activities, which she deposited into a domestic bank account. Next, she moved the funds to several foreign accounts in the form of fake loans and transactions to make the audit trail difficult to follow. Finally, she transferred the funds back to a domestic account that she controlled and then spent the money. In which of the following stages of money laundering did Greta engage when she first deposited the money into a domestic account?
A company files a civil lawsuit against one of its directors for insider trading. At the end of the trial, a court orders the director to refrain from purchasing or obtaining the stock of a particular corporation. Which of the following BEST describes this type of remedy?
Slater has been appointed as a bankruptcy administrator. According to the recommendations of the World Bank Principles for Effective Insolvency and Creditor/Debtor Regimes (World Bank Principles), which of the following statements concerning Slater's role as bankruptcy administrator is MOST ACCURATE?
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?
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
TESTED 27 Apr 2025