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NEW QUESTION 20
Which of the following statements concerning civil trials in common law jurisdictions is MOST ACCURATE?
- A. Civil jury trials must have the same number of jurors as in criminal jury trials.
- B. in most civil cases, the standard of proof is the preponderance of the evidence
- C. Neither side may appeal an adverse judgment in a civil case
- D. Jury verdicts m civil trials must always be unanimous
Answer: D
NEW QUESTION 21
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?
- A. The government relied on the false statement
- B. The defendant knew the statement was false
- C. The defendant made a false statement
- D. The false statement was material
Answer: A
NEW QUESTION 22
Allison works for a government contractor She informs the government that her employer has been submitting false claims to the government for payment Later it is discovered that Allison has misappropriated more than
$50,000 of her employer's money Alison qualifies as a whistleblower entitled to anti-retaliation protection under the law because of her report to the government Which of the following statements about Allison is CORRECT?
- A. Allison cannot be fired for any reason
- B. Allison cannot be fired for misappropriating funds from her employer
- C. None of the above
- D. Alison cannot be fired for informing the government of her employee's fraud
Answer: D
NEW QUESTION 23
Countries A and B both follow the Financial Action Task Force (FATF) Recommendations concerning cross-border transfers of currency Trevor is traveling from Country A to Country B while carrying $16,000 in cash which exceeds Country B's reporting threshold Trevor is required to disclose the amount of currency he is carrying to authorities in Country B.
- A. False
- B. True
Answer: B
NEW QUESTION 24
Which of the following statements about the International Organization of Securities Commissions (IOSCO) s TRUE?
- A. IOSCO is an oversight body responsible for issuing and enforcing regulations that govern all international securities markets
- B. IOSCO provides a forum for regular cooperation on banking supervisory matters affecting developing nations
- C. IOSCO is a self-regulatory organization for companies that have securities traded on international securities markets
- D. IOSCO is recognized as the international standard-setter for securities markets
Answer: D
NEW QUESTION 25
The MOST COMMON bankruptcy fraud scheme is:
- A. Concealment of assets
- B. A credit card bustout
- C. A planned bustcut
- D. Forged filing
Answer: A
NEW QUESTION 26
Which of the following is the MOST ACCURATE statement about the circumstances under which a conflict of interest claim would be actionable against an agent?
- A. The agent must have purported to act on behalf of or as an agent for an identified principal
- B. The agent must have informed the principal of their actions
- C. The agent must have had an undisclosed interest m a matter that could influence their professional role
- D. The agent must have been authorized by someone with actual authority to carry out the transaction at issue
Answer: C
NEW QUESTION 27
Claude stole a large amount of cash from his employer and then deposited the funds into a domestic bank account Next, he wired the illicit funds to a foreign bank account and engaged m several other transactions using foreign accounts to make them difficult to trace Finally, he transferred the funds back to a domestic account and then spent the money. Which of the following actions was the layering stage of Claude's money laundering scheme?
- A. When he first stole the cash from his employer
- B. When he moved the funds through several transactions using foreign accounts
- C. When he first deposited the funds into a domestic account
- D. When he spent the money
Answer: B
NEW QUESTION 28
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?
- A. An international purchase of a small boat with a lump-sum cash payment below the jurisdiction's designated threshold
- B. A domestic credit card purchase of a piece of jewelry above the jurisdiction's designated threshold
- C. A lump-sum cash deposit to a bank above the jurisdiction's designated threshold
- D. A cash payment to a restaurant supplier for restaurant supplies above the jurisdiction's designated threshold
Answer: C
NEW QUESTION 29
Which of the following is a red flag that an entity is operating a security business without the proper license or registration?
- A. The agents working at the entity have criminal records.
- B. There is an unexplained absence of customer complaints against the entity.
- C. The entity's website contains detailed background information.
- D. There are justified gaps in the work history of promoters at the entity
Answer: A
NEW QUESTION 30
One of the purposes of securities regulation is to maintain market confidence.
- A. False
- B. True
Answer: B
NEW QUESTION 31
Which of the following is the MOST ACCURATE statement about the different types of alternative dispute resolution'?
- A. The decisions reached in all arbitrations are always binding
- B. In a mediation session, the mediator decides who should win the dispute at issue
- C. The agreements reached in mediations are generally nonbinding.
- D. In an arbitration proceeding the arbitrator acts as a judge or jury by deciding the dispute at issue on its merits
Answer: A
NEW QUESTION 32
A custodial arrest occurs when a law enforcement officer informs the suspect of their rights as a criminal defendant
- A. False
- B. True
Answer: B
NEW QUESTION 33
Which of the following describes the purpose of an expert witness testimony at trial?
- A. To offer an opinion as to a party's guilt or innocence
- B. To give a firsthand account of the fads of the case on the record
- C. To give an opinion when the fact finder needs specialized knowledge
- D. None of the above
Answer: C
NEW QUESTION 34
In a particular country's judicial process, the judge oversees the investigation of a case is primarily responsible for questioning witnesses and generally plays a larger role in the evidence-gathering process than the parties' legal counsel Which of the following BEST describes this type of judicial process'?
- A. Common law process
- B. Substantive law process
- C. Adversarial process
- D. Inquisitorial process
Answer: C
NEW QUESTION 35
Which of the following is generally NOT one of the goals of deferred prosecution agreements?
- A. To postpone prosecution until a company conducts an extensive internal investigation
- B. To get an organization to reform its policies
- C. To allow prosecutors to resolve a case while still punishing malfeasance
- D. To reduce the risk of illegal practices at an organization
Answer: A
NEW QUESTION 36
Which of the following statements is TRUE regarding criminal proceedings and discovery in adversarial jurisdictions?
- A. The majority of criminal discovery usually occurs before the trial begins.
- B. The judge is the primary driver of the discovery process in criminal proceedings.
- C. Most criminal proceedings are divided into pretrial, investigative and trial phases
- D. Parties typically cannot request evidence from each other until after the trial begins.
Answer: B
NEW QUESTION 37
Evidence that tends to make some tact at issue more or less likely than it would be without the evidence is called:
- A. Relevant evidence
- B. Testamentary evidence
- C. Demonstrative evidence
- D. Circumstantial evidence
Answer: A
NEW QUESTION 38
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