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Question 1 of 10
1. Question
Financial institutions may initiate investigative efforts based on?
Correct
Financial institutions may initiate investigative efforts based on regulatory findings or recommendations and regulatory findings or interactions.
Incorrect
Financial institutions may initiate investigative efforts based on regulatory findings or recommendations and regulatory findings or interactions.
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Question 2 of 10
2. Question
What is also known as ethics, compliance, or whistleblower hotlines?
Correct
Internal hotlines and Organization ethics are known as ethics, compliance, or whistleblower hotlines.
Incorrect
Internal hotlines and Organization ethics are known as ethics, compliance, or whistleblower hotlines.
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Question 3 of 10
3. Question
What will determine the organizational recipient of the hotline information such as legal, compliance, human resources, or corporate security?
Correct
The size and scale of a financial institution and structure of the institution will determine the organizational recipient of the hotline information such as legal, compliance, human resources, or corporate security
Incorrect
The size and scale of a financial institution and structure of the institution will determine the organizational recipient of the hotline information such as legal, compliance, human resources, or corporate security
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Question 4 of 10
4. Question
A search warrant is a allow of authorization from a court for a law enforcement organization to search Certain designated premises and to seize specific categories of?
Correct
A search warrant is a allow of authorization from a court for a law enforcement organization to search Certain designated premises and to seize specific categories of Items or documents and Recipes and files.
Incorrect
A search warrant is a allow of authorization from a court for a law enforcement organization to search Certain designated premises and to seize specific categories of Items or documents and Recipes and files.
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Question 5 of 10
5. Question
The search warrant is authorized based on data contained in an affirmation submitted by
Correct
The search warrant is authorized based on data contained in an affirmation submitted by a Law enforcement officer and Corporate security.
Incorrect
The search warrant is authorized based on data contained in an affirmation submitted by a Law enforcement officer and Corporate security.
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Question 6 of 10
6. Question
Subpoenas are usually issued by grand juries, operating under the purview of a court and empower a law enforcement agency to?
Correct
Subpoenas are usually issued by grand juries, operating under the purview of a court and empower a law enforcement agency to Compel the production of documents and testimony and Books and records of a regulated institution.
Incorrect
Subpoenas are usually issued by grand juries, operating under the purview of a court and empower a law enforcement agency to Compel the production of documents and testimony and Books and records of a regulated institution.
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Question 7 of 10
7. Question
A search warrant does not?
Correct
A search warrant does not In-house or outside counsel and Compel testimony
Incorrect
A search warrant does not In-house or outside counsel and Compel testimony
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Question 8 of 10
8. Question
When presented with a search warrant, an institution should take which of the following steps?
Correct
When presented with a search warrant, an institution should consider taking are Ask for a copy of law enforcement’s inventory of what they have seized
and Review the warrant to understand its scopeIncorrect
When presented with a search warrant, an institution should consider taking are Ask for a copy of law enforcement’s inventory of what they have seized
and Review the warrant to understand its scope -
Question 9 of 10
9. Question
Several key steps to conducting an effective financial investigation into potential suspicious activity including?
Correct
Several key steps to conducting an effective financial investigation into potential suspicious activity including Generating a written report documenting relevant and Contacting the relationship manager.
Incorrect
Several key steps to conducting an effective financial investigation into potential suspicious activity including Generating a written report documenting relevant and Contacting the relationship manager.
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Question 10 of 10
10. Question
A financial investigator’s main objective is to track the?
Correct
A financial investigator’s main objective is to track the movement of cash and movement of money.
Incorrect
A financial investigator’s main objective is to track the movement of cash and movement of money.