A.  

The purpose of authentication is to show that the evidence is what the party claims it is.

B.  

Digital records cannot be authenticated through a written certification by the custodian of records.

C.  

For evidence to be authenticated, it must be reviewed and voted on by a jury.

D.  

A party can introduce authenticated exhibits as evidence at trial even if the items are not relevant.

A.  

As part of her sentence for money laundering, a defendant is sentenced to a three- to five-year term of incarceration.

B.  

As part of her sentence for bribery, a defendant is ordered to transfer a vehicle she received as a bribe to the government.

C.  

As part of his sentence for tax evasion, a defendant is ordered to pay a fine of $10,000 to the government.

D.  

As part of his sentence for embezzlement, a defendant is ordered to pay back his employer for the money he stole.

A.  

The privilege might have been waived because Katrina used email to transmit the protected information.

B.  

The privilege might have been waived because Katrina transmitted the protected information to a third party who has no need to know the information.

C.  

The privilege was not waived by Katrina because the legal professional privilege belongs to the attorney, not the client.

D.  

The privilege was not waived because the legal professional privilege cannot be waived by transmitting protected information to a third party.

A.  

Right of the accused to a trial without public disclosure of the results

B.  

Right of the accused to be presumed innocent until proven guilty

C.  

Right of the accused to unlimited appeals in criminal trials

D.  

Right of the accused to be released from custody pending trial

A.  

Public health and safety regulations

B.  

Laws and regulations related to public subsidies licenses, and contract procurement

C.  

Laws and regulations covering e-commerce

D.  

Consumer data protection laws

A.  

The entity ' s website contains detailed background information.

B.  

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

C.  

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

D.  

The agents working at the entity have criminal records.

A.  

Bob did not walve the privilege because the legal professional privilege belongs to the attorney, not the client

B.  

Bob might have waived the privilege because he transmitted the protected information to a third party who has no need to know the information

C.  

Bob might have waived the privilege because he used email to transmit the protected information.

D.  

Bob did not waive the privilege because the legal professional privilege cannot be waived by transmitting protected information to a third party

A.  

To increase the likelihood of conviction if a company is accused of subsequent misconduct

B.  

To save trial resources by getting the defendant to plead guilty to a less serious offense

C.  

To postpone prosecution until a company conducts an adequate internal investigation

D.  

To allow prosecutors to resolve a corporate case while still punishing misconduct

A.  

The plaintiff’s complaint must typically contain a copy of all documents that might be relevant to the case.

B.  

Civil actions begin with the filing of a pleading, usually in the jurisdiction where the defendant resides or where the claim originated.

C.  

The plaintiff’s complaint does not need to state the grounds for legal relief.

D.  

All of the above are correct.

A.  

Both the parties and the judge may determine how much consideration should be given to an expert ' s testimony.

B.  

Both the parties and the judge may question an expert ' s credibility.

C.  

Only the parties are allowed to make objections regarding an expert ' s biases.

D.  

Only the judge is allowed to question the expert ' s analysis and the methods that they used in their determinations.

A.  

Codified law system

B.  

Common law system

C.  

Statutory law system

D.  

Civil law system

A.  

IOSCO is a self-regulatory organization for companies that have securities traded on international securities markets

B.  

IOSCO provides a forum for regular cooperation on banking supervisory matters affecting developing nations

C.  

IOSCO is an oversight body responsible for issuing and enforcing regulations that govern all international securities markets

D.  

IOSCO is recognized as the international standard-setter for securities markets

A.  

Raul must have informed the organization that he had a personal or economic connection to one or more of the venues.

B.  

Raul must have failed to disclose that he had a personal or economic interest in a matter that could influence his professional role.

C.  

Raul must have breached the duty of fidelity that he owed to XYZ Org.

D.  

Raul must have received a direct financial benefit due to the alleged conflict.

A.  

true

B.  

False

A.  

True

B.  

False

A.  

The jurisdiction ' s commerce department or equivalent agency

B.  

The creditor with the largest claim against the debtor

C.  

The debtor, supervised by an independent insolvency representative

D.  

An independent insolvency representative

A.  

A coworker states that the employee appeared to be nervous on the day of the theft.

B.  

A diagram is used to display the location of the employer ' s safe.

C.  

A witness testifies that they saw the employee take the money.

D.  

A witness testifies that the employee was usually the last person to leave the office.

A.  

May, but is not required to file a report of suspicious transactions related to possible money laundering with appropriate authorities

B.  

May not file a report of suspicious transactions related to potential criminal activity with appropriate authorities

C.  

Is required to file a report of suspicious transactions with appropriate authorities because the employees suspect money laundering violations

D.  

Is required to file a cash transaction report for possible criminal activity with appropriate authorities because cash was involved

A.  

Generally, the court selects the primary expert witnesses in adversarial jurisdictions and the parties do not participate in the selection.

B.  

Generally, the parties select the expert witnesses in both inquisitorial and adversarial jurisdictions.

C.  

Generally, the court selects the primary expert witnesses in inquisitorial jurisdictions and the parties do not hire them directly.

D.  

Generally, the parties select expert witnesses in inquisitorial jurisdictions but not in adversarial jurisdictions.

A.  

The false statement was material.

B.  

The government relied on the false statement.

C.  

The defendant knew the statement was false.

D.  

The defendant made a false statement.

A.  

Churning

B.  

Insider trading

C.  

Trading on margin

D.  

Futures fraud

A.  

Generally, the court appoints the primary expert witnesses in inquisitorial jurisdictions.

B.  

Generally, only the parties may select expert witnesses in inquisitional jurisdictions.

C.  

Generally the court selects the primary expert witnesses in adversarial jurisdictions.

D.  

Generally, only the parties may select experts to introduce testimony in adversarial jurisdictions

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

A.  

License revocation

B.  

Disenfranchisement

C.  

Debarment

D.  

License suspension

A.  

Conflict of interest

B.  

Defamation

C.  

Public disclosure of private facts

D.  

Slander

A.  

A U.S. company pays a $2,000 foreign corporation fee that is required to conduct business within the country.

B.  

A private U.S. company transfers $35,000 to the owner of a private Chilean company to influence the award of a construction contract.

C.  

A private U.S. company transfers $45,000 to a Chinese public official to influence the award of overseas contracts.

D.  

A UK company transfers $15,000 to a Brazilian public official to influence the award of overseas construction contracts.

A.  

The expert has the discretion to determine the scope of the examinations

B.  

The judge is not allowed to question the expert ' s credibility under any circumstance

C.  

The parties determine the extent of consideration to be given to the expert ' s testimony

D.  

The parties are often allowed to question the expert ' s methods and analysis

A.  

True

B.  

False

A.  

Cross-claim

B.  

Collateral attack

C.  

Reversal

D.  

Counterclaim

A.  

The defendant acted intentionally or recklessly

B.  

The victim was an employee of the defendant

C.  

The victim suffered distress as a result of the defendants conduct

D.  

The defendant engaged in extreme and outrageous conduct

A.  

Adversarial process

B.  

Inquisitorial process

C.  

Civil law process

D.  

Unitary process

A.  

An importer and an exporter conspire to conceal illicit funds by creating invoices that understate the quantity of goods shipped internationally

B.  

An accountant overstates a restaurants revenues to hide illegal funds that are secretly laundered through the business

C.  

A drug cartel outside of the United States launders illicit funds by hiring runners to deposit small amounts of money in bank accounts throughout the United States

D.  

A businessperson deposits illicit funds into the bank account of a company they secretly own which then lends the funds back to them

A.  

The systems are not necessarily illegal.

B.  

Funds are sent and received without the use of traditional financial institutions.

C.  

The systems are characterized by a lack of physical or digital transfer of currency between payers and payees.

D.  

The ledgers used typically contain information regarding payers and payees, such as names and account numbers.

A.  

Affidavits of documents or records

B.  

Written examinations

C.  

Injunctions

D.  

Oral examinations

A.  

Files a bankruptcy petition under the name of an uninvolved person

B.  

Obtains a business insurance policy using illicit assets

C.  

Uses credit to purchase a considerable amount of goods

D.  

Colludes with inventory suppliers to conceal assets

A.  

The defendant ' s counsel

B.  

The grand jury

C.  

The prosecution

D.  

The judge

A.  

The defendant made a false statement in a court of law.

B.  

The defendant made a false statement that influenced the fact finder’s decision.

C.  

The defendant made a false statement to a judge.

D.  

The defendant made a false statement that was material to the proceeding.

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 recommends an investment or investment strategy that is inconsistent with the client ' s objectives

C.  

A suitability violation occurs when a broker trades in a client ' s account without obtaining prior approval for making the transaction(s).

D.  

A suitability violation occurs when a broker enters into transactions and manages a client ' s account for the purpose of generating excessive commissions

A.  

An employee intentionally destroys a relevant document prior to the company announcing the possibility of litigation.

B.  

An employee unintentionally alters a digital document that is not directly relevant to any potential litigation that the company has announced to its staff.

C.  

An employee accidentally deletes a digital document that is relevant to litigation after the company announces that such litigation is a possibility.

D.  

An employee abstains from destroying a document relevant to an ongoing proceeding even though this act violates the company ' s document retention policy.

A.  

Existence of fraud risk factors

B.  

Existence of violation red flags

C.  

Existence of interstate compacts

D.  

Existence of an employment contract

A.  

Debt adjustment bankruptcy

B.  

Liquidation bankruptcy

C.  

Reorganization bankruptcy

D.  

Debt dismissal bankruptcy

A.  

Yes, the civil action can be filed if the jurisdiction permits parallel proceedings.

B.  

No, the civil action cannot be filed if the jurisdiction prohibits counterclaims.

C.  

Yes, the civil action can be filed if the jurisdiction permits analogous cairns.

D.  

No, the civil action cannot be filed if the jurisdiction prohibits double jeopardy.

A.  

" Did the person who made the representation believe that it was suitable for potential investors? "

B.  

" Was the misrepresentation made by an authorized individual? "

C.  

" Would a reasonable investor wish to know the information to make an informed decision? "

D.  

' ' Did the person who made the representation intend to mislead potential investors?

A.  

Communication between a legal advisor and a client

B.  

Purpose of the communications was to seek or provide legal advice

C.  

Intent to keep the communications confidential

D.  

A lawsuit has been filed

A.  

True

B.  

False

A.  

Duty of loyalty

B.  

Duty of care

C.  

Duty of responsibility

D.  

Duty of employee trust

A.  

Circumstantial evidence

B.  

Testamentary evidence

C.  

Demonstrative evidence

D.  

Relevant evidence

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

A.  

Mail fraud

B.  

Wire fraud

C.  

Insider trading fraud

D.  

Communications fraud

A.  

The expectation of making a profit

B.  

Profits derived solely from the investor ' s management activity

C.  

investment m a common enterprise

D.  

An investment of money or other asset

A.  

Determinate sentence

B.  

Probation

C.  

Deferred prosecution agreement

D.  

Indeterminate sentence

A.  

Overstating revenues

B.  

Reporting real estate purchases

C.  

Recording but not depositing revenue

D.  

None of the above

A.  

True

B.  

False

A.  

A judge serves as the fact finder in all criminal cases that go to trial.

B.  

A jury serves as the fact finder in all criminal cases that go to trial.

C.  

Although a judge typically serves as the fact finder, a jury sometimes serves as the fact finder in cases that are deemed more minor.

D.  

Although a jury typically serves as the fact finder, a judge may serve as the fact finder in minor cases where a jury trial is not available or is waived.

A.  

The agreements reached in mediations are generally nonbinding.

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.  

In an arbitration proceeding the arbitrator acts as a judge or jury by deciding the dispute at issue on its merits

A.  

Slater may investigate all contracts the debtor entered into, but he does not have the power to cancel them without the debtor ' s permission.

B.  

Slater may request relevant information from the debtor ' s agents or others with knowledge of the debtor ' s affairs, but he cannot force them to provide it.

C.  

Slater may collect, preserve, and dispose of the debtor ' s property.

D.  

Slater may not interfere with contracts signed by the debtor.

A.  

Win the case because he is protected under the qualified business privilege

B.  

Lose the case if a trier of fact concludes that he restrained Janessa without consent or legal justification

C.  

Lose the case because janessa did not leave the interview

D.  

Win the case if he did not know the conduct was illegal

A.  

As part of his sentence for embezzlement, a defendant is ordered to pay back his employer for the money he stole.

B.  

As part of her sentence for bribery a defendant is ordered to transfer a car she received as a bribe to the government

C.  

As part of her sentence for money laundering a defendant is sentenced to a three- to five-year term of incarceration

D.  

As part of his sentence for tax evasion, a Defendant is ordered to pay a fine of $10,000 to the government

A.  

A domestic cash deposit into a bank of a sum that is below the jurisdiction ' s designated threshold.

B.  

A single cash purchase of restaurant supplies for a sum that is above the jurisdiction ' s designated threshold.

C.  

A single cash purchase of casino credits for a sum that is above the jurisdiction ' s designated threshold.

D.  

All of the above.

A.  

The plaintiffs initial filing does not typically need to contain a summary of the evidence

B.  

Civil lawsuits begin with the filing of a pleading, usually in the jurisdiction in which the defendant resides or where the claim arose

C.  

The plaintiff’s initial filing with the court does not typically need to include the specific facts on which the claim relies.

D.  

All of the above are correct

A.  

The likelihood that the case will eventually go to trial.

B.  

The existence of a collective bargaining agreement.

C.  

The amount of evidence that the employer possesses.

D.  

The length of the employee ' s tenure at the organization.

A.  

Front businesses are a favored method because it is easy to match the costs associated with providing customers food, liquor, and entertainment with the revenues produced.

B.  

Bars, restaurants, and nightclubs are commonly used as front businesses because these venues tend to charge relatively low prices and customers rarely vary in their purchases.

C.  

Front businesses can often be detected because these businesses have a large number of customers during peak operating hours and high income.

D.  

A front business that conducts legitimate business can provide cover for delivery and transportation related to illegal activity.

A.  

Digital currencies are subject to all of the same regulations as payments made through traditional financial institutions

B.  

Digital currencies are attractive to money launderers because payments often cross jurisdictional boundaries, making it difficult for authorities to pursue enforcement

C.  

Digital currencies are attractive to money launderers because they are a payment method that provides complete anonymity

D.  

Digital currencies are not typically used to launder money due to strict customer identification or recordkeeping requirements enforced in all jurisdictions