최신 CFE-Law 무료덤프 - ACFE Certified Fraud Examiner

문제1

The Financial Action Task Force (FATF) Recommendations advise countries to do all of the following EXCEPT:

A. Use a risk-based approach when setting anti-money laundering policies

B. Enable authorities to trace freeze, and confiscate assets suspected in money laundering and terrorist financing

C. Require financial institutions to monitor their customers' political affiliations.

D. Require financial institutions to keep certain records and establish anti-money laundering policies.

정답: C

문제2

Which of the following is the MOST ACCURATE statement about serf-regulatory organizations (SROs) in the securities industry?

A. An SRO generally has sole regulatory authority over the securities industry in the jurisdiction in which it operates

B. An SRO is a governmental entity that exercises regulatory authority over the securities industry in its jurisdiction

C. In most jurisdictions. SROs are prohibited from participating in the resolution of disputes related to securities transactions

D. In some jurisdictions SROs establish the standards and rules under which members of the securities industry operate

정답: D

문제3

A business files for bankruptcy with the goal of obtaining relief from creditors so that it can rearrange its financial affairs and continue as a going concern. Which of the following describes this type of bankruptcy proceeding?

A. Liquidation bankruptcy

B. Debt dismissal bankruptcy

C. Reorganization bankruptcy

D. Debt adjustment bankruptcy

정답: C

문제4

Which of the following is a red flag that an entity is operating a security business without the proper license or registration?

A. There is an unexplained absence of customer complaints against the entity.

B. The agents working at the entity have criminal records.

C. There are justified gaps in the work history of promoters at the entity

D. The entity's website contains detailed background information.

정답: B

문제5

Greg is serving as an expert witness and is being cross-examined at trial. The questioning party gets Greg to state that he spent considerable time working on a certain issue in the case. Then the questioning party asks many questions on a tangential issue in the case that Greg knows little about. Which of the following describes the questioning party's method?

A. Myopic vision

B. Sounding board

C. Bias

D. Personal attack

정답: A

문제6

Dodd is a Certified Fraud Examiner (CFE) who works for Weathervane, a private company Dodd suspects that Burton a Weathervane employee has embezzled money from the company Dodd plans to conduct an internal investigation into the missing funds Based on these facts which of the following is the MOST ACCURATE statement?

A. Burton likely has a duty to cooperate with the investigation as part of the employer-employee relationship

B. Burton has a duty to cooperate with the investigation even if what is requested from him is not reasonable

C. Burton can refuse to cooperate with the investigation because he has a fundamental right to remain silent

D. Burton can refuse to cooperate with the investigation because he has a fundamental right to privacy

정답: A

문제7

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 n the theft of more than $5 000 from the store?

A. A coworker testifies that the defendant was acting nervously the day the money was taken

B. A witness testifies that the defendant was almost always the last cashier to leave the store

C. A diagram is used to display the location of the store's registers

D. A witness testifies that they saw the defendant take the money

정답: D

문제8

Which of the following is NOT required for a contract transaction or scheme to be classified as an investment contract?

A. The expectation of making a profit

B. investment m a common enterprise

C. An investment of money or other asset

D. Profits derived solely from the investor's management activity

정답: D

문제9

A custodial arrest occurs when a law enforcement officer informs the suspect of their rights as a criminal defendant

A. True

B. False

정답: A

문제10

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?

A. Preservation order

B. Declaratory relief

C. Prejudgment attachment

D. Litigation hold

정답: C

최신 CFE-Law 무료덤프 - ACFE Certified Fraud Examiner

우리와 연락하기

유용한 링크

최신 업데이트