JURI 615 Quiz 2
JURI 615 Quiz 2 Enforcement, Regulators, Prosecutors, and Whistleblowers
Covers the Learn material from Module 3: Week 3 — Module 4: Week 4.
- Compliance policies are normally phrased obligatory, mandatory, and legalese terms
- Based on DOJ guidance, which is not a valid criterion for evaluating corporate compliance programs?
- An effective compliance programs requires reliable and ethical people to manage it
- An employer may face legal liability for the negligent hiring of an unqualified person
- Which of the following is a legal doctrine that imposes legal liability on an employer for the acts of its employees?
- In background checks and hiring, it is generally acceptable to ask for and require information concerning a protected category?
- Because in the background check phase of hiring, the applicant is not an employee yet, the employer does not need to worry about claims of illegal employment discrimination.
- Federal law currently precludes an employer from asking about arrest and conviction records in employment applications
- In a compliance program, the same level of compliance training should be given to all employees
- Generally, small-scale, internal investigations are disclosed to the public because they deal with only minor misconduct.
- If, during an internal investigation, a company uncovers criminal activity, it is always legally obligated to notify the proper authorities
- Which of the following is not a downside to a required or encourage compliance policies by government regulators?
- Which of the following is not a requirement under statutory Bank Secrecy Act compliance elements
- Under SEC rule, a registered investment adviser may provide investment advice without written compliance policies.
- Which of the following is not a common part of a “risk-based” approach to compliance
- If an enforcement proceeding goes to judgment, which legal doctrine bars the defendant from denying the facts and conclusions in a later case or proceeding?
- In regulatory settlements, companies generally insist on the inclusion of non-admission clauses
- Based on the reading, the most effective penalty against a corporation is normally a fine
- Based on DOJ policy, prosecution of a corporation can be a substitute for prosecuting culpable individuals
- Which of the following is not normally a factor to be considered in prosecuting a corporate target?
- Under DOJ policy, if a corporation disciplines against employees who engaged in wrongdoing, the entity may receive a cooperation credit
- Generally, a company can take retaliatory actions against a whistleblower with no jeopardy
- Which of the following is not a reason why corporate defendants disfavor plea agreements?
- If the collateral cost of corporation conviction for innocent third parties would be high, a deferred- or non-prosecution agreement may be appropriate
- Generally, there is little incentive for a whistleblower or other party to bring a qui tam action against a corporation