あなたを必ず合格させるCFE-Law問題集PDF 2024年最新のに更新されたのは102問あります
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質問 # 21
Which of the following is the MOST ACCURATE statement about the different types of alternative dispute resolution'?
- A. In an arbitration proceeding the arbitrator acts as a judge or jury by deciding the dispute at issue on its merits
- B. In a mediation session, the mediator decides who should win the dispute at issue
- C. The decisions reached in all arbitrations are always binding
- D. The agreements reached in mediations are generally nonbinding.
正解：C
質問 # 22
Evidence that tends to make some tact at issue more or less likely than it would be without the evidence is called:
- A. Testamentary evidence
- B. Relevant evidence
- C. Circumstantial evidence
- D. Demonstrative evidence
正解：B
質問 # 23
Which of the following is the MOST ACCURATE statement about the UK Bribery Act?
- A. Like the FCPA the UK Bribery Act contains an explicit exception for facilitating payments
- B. The UK Bribery Act only exercises jurisdiction over individuals and corporate entities for acts of corruption when the offense occurs outside the United Kingdom
- C. Even if an organization's anti-corruption program complies with the FCPA, it might not be sufficient for the purpose of complying with the UK Bribery Act
- D. Unlike the FCPA. the UK Bribery Act makes it a crime to bribe a foreign public official in connection with international business transactions
正解：C
質問 # 24
A prosecutor died criminal charges against Rosa calming that she stole Juan's personal information and sold his identity on the dark web Juan wants to file a civil lawsuit against Rosa to recover damages arising from the identity theft Can Juan file the civil action before the criminal action against Rosa is completed?
- A. Yes, the evil action can be filed if the jurisdiction permits analogous cairns.
- B. No, the civil action cannot be filed if the jurisdiction prohibits counterclaims.
- C. Yes, the evil action can be filed if the jurisdiction permits parallel proceedings.
- D. No, the civil action cannot be filed if the jurisdiction prohibits double jeopardy.
正解：C
質問 # 25
Which of the following is the MOST ACCURATE statement about rules prohibiting securities broker-dealers from making unsuitable recommendations on investments or investment strategies?
- A. A suitability violation occurs when a broker does not carry out a trade requested by or promised to a customer
- B. A suitability violation occurs when a broker trades in a client's account without obtaining prior approval for making the transaction(s).
- C. A suitability violation occurs when a broker recommends an investment or investment strategy that is inconsistent with the client's objectives
- D. A suitability violation occurs when a broker enters into transactions and manages a client's account for the purpose of generating excessive commissions
正解：D
質問 # 26
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. Litigation hold
- B. Preservation order
- C. Declaratory relief
- D. Prejudgment attachment
正解：D
質問 # 27
The same customer comes into a casino each day and deposits a large amount of cash into an account but after very little gambling the customer withdraws the funds The casino employees suspect that the customer may be engaged in money laundering activity Assuming that the anti-money laundering (AML) regulations that govern the casino's activities correspond to the Financial Action Task Force (FATF) Recommendations the casino:
- A. Is required to file a report of suspicious transactions with appropriate authorities because the employees suspect money laundering violations
- B. Is required to file a cash transaction report for possible criminal activity with appropriate authorities because cash was involved
- C. May, but is not required to file a report of suspicious transactions related to possible money laundering with appropriate authorities
- D. May not file a report of suspicious transactions related to potential criminal activity with appropriate authorities
正解：A
質問 # 28
Which of the following is NOT an element generally required to establish a claim alleging the common law avil wrong for intentional infliction of emotional distress?
- A. The victim suffered distress as a result of the defendants conduct
- B. The victim was an employee of the defendant
- C. The defendant engaged in extreme and outrageous conduct
- D. The defendant acted intentionally or recklessly
正解：B
質問 # 29
Which of the following statements concerning money services businesses (MSBs) is INCORRECT?
- A. A currency exchange is classified as an MSB.
- B. A check cashing company is classified as an MSB.
- C. MSBs are generally less strictly regulated than traditional financial institutions.
- D. MSBs tend to have a tower money laundering risk than other financial institutions.
正解：C
質問 # 30
Ethan a U S resident, is running a Ponzi scheme As part of the scheme, he uses the U S mail system to send promotional materials to potential victims in France If the US government decides to prosecute Ethan, which of the following would provide the MOST LIKELY basis for the charges?
- A. Mail fraud
- B. Wire fraud
- C. Communications fraud
- D. Insider trading fraud
正解：A
質問 # 31
In most civil law jurisdictions which of the following BEST describes when a party is required to begin taking steps to preserve and produce relevant evidence?
- A. When litigation has started
- B. When the party receives a service of process
- C. When the charging documents are filed
- D. When the court orders such steps to be taken
正解：A
質問 # 32
Which of the following statements regarding the qualifications of expert witnesses in most inquisitorial jurisdictions is CORRECT?
- A. Certification in a specific field is always enough to qualify an expert
- B. An excerpt is not qualified to testify unless all parties to the litigation approve
- C. Experts are generally prohibited from serving as expert witnesses in multiple cases
- D. The qualification of an expert is generally based on standardized requirements
正解：D
質問 # 33
Which of the following can affect the rights that employees may have during an internal investigation?
- A. Existence of fraud risk factors
- B. Existence of interstate compacts
- C. Existence of an employment contract
- D. Existence of violation red flags
正解：C
質問 # 34
The________________requires that an employee act solely in the best interest of their employer, free of any serf-dealing, conflicts of interest, or other abuse that results in a personal advantage
- A. Duty of responsibility
- B. Duty of employee trust
- C. Duty of care
- D. Duty of loyalty
正解：D
質問 # 35
Which of the following, if available, would help an organization recover losses from an instance of internal fraud?
- A. Deposition
- B. Fidelity insurance
- C. Privilege insurance
- D. Customer liability policy
正解：B
質問 # 36
Grant, a fraud examiner is investigating Beatrice for embezzlement on his employer's behalf. During his investigation. Grant learns that Beatrice has cheated on her spouse and he tells several of Beatrice's coworkers about it Beatrice discovers that Grant revealed the unflattering (albeit true) information about her and decides to file a claim of defamation against Grant. Which of the following is the BEST explanation of why Beatrice will not win her defamation case?
- A. The communications to the subject's coworkers were privileged
- B. The news was not communicated to enough people
- C. The information was true
- D. The statement was not printed and distributed
正解：C
質問 # 37
Even if a government agent obtains consent to search by force duress or bribery, the consent will still constitute a valid waiver of the consenting party's right to be free from searches.
- A. true
- B. False
正解：B
質問 # 38
In systems using adversarial processes, an attorney may impeach an opposing party's witness by showing that the witness:
- A. Made poor consistent statements
- B. Is influenced by bias or self-interest
- C. Has a keen ability to observe
- D. Testified from personal knowledge
正解：B
質問 # 39
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. A cash payment to a restaurant supplier for restaurant supplies above the jurisdiction's designated threshold
- B. An international purchase of a small boat with a lump-sum cash payment below the jurisdiction's designated threshold
- C. A domestic credit card purchase of a piece of jewelry above the jurisdiction's designated threshold
- D. A lump-sum cash deposit to a bank above the jurisdiction's designated threshold
正解：D
質問 # 40
The MOST COMMON bankruptcy fraud scheme is:
- A. Concealment of assets
- B. A planned bustcut
- C. A credit card bustout
- D. Forged filing
正解：A
質問 # 41
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