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NEW QUESTION 23
Nora, a health care provider b convicted of health care fraud in criminal court After her conviction, the national health agency begins a proceeding to prohibit Nora from seeking reimbursement from government health care programs for five years Which type of administrative penalty is the national health agency seeking?
- A. Disenfranchisement
- B. License suspension
- C. Debarment
- D. License revocation
Answer: B
NEW QUESTION 24
Frederick has multiple high-volume foreign bank accounts. The country he lives in requires him to report such accounts annually for tax purposes but he regularly and intentionally fails to report his accounts in order to reduce the amount of taxes he must pay. Which of the following schemes has Frederick MOST LIKELY committed?
- A. An excise tax evasion scheme
- B. A value-added tax evasion scheme
- C. A tax credit evasion scheme
- D. An income and wealth tax evasion scheme
Answer: D
NEW QUESTION 25
In most civil law systems, which of the following parties typically serves as the fact finder in criminal proceedings?
- A. A jury
- B. judge
- C. A panel of court-appointed attorneys
- D. A panel comprised of laypersons
Answer: B
NEW QUESTION 26
Greta is convicted of white-collar crime. However, her sentence is suspended in return for her promise of good behavior. Which of the following BEST describes Greta's sentence?
- A. indeterminate sentence
- B. Deferred prosecution agreement
- C. Determinate sentence
- D. Probation
Answer: D
NEW QUESTION 27
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. Bias
- C. Sounding board
- D. Personal attack
Answer: A
NEW QUESTION 28
To determine if a misrepresentation in the offer or sale of any securities is material a fraud examiner should answer which of the following questions?
- A. "Was the misrepresentation made by an authorized individual?"
- B. "Did the person who made the representation believe that it was suitable for potential investors?"
- 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?
Answer: C
NEW QUESTION 29
Which of the following is NOT required for a contract transaction or scheme to be classified as an investment contract?
- A. Profits derived solely from the investor's management activity
- B. The expectation of making a profit
- C. An investment of money or other asset
- D. investment m a common enterprise
Answer: A
NEW QUESTION 30
Ramona is investigating Eugene for misconduct Ramona and Eugene both work for Elek-Tek, which operates in a jurisdiction with evil laws for defamation, invasion of privacy and conflict of interest During the investigation Ramona obtained ^formation that Eugene is cheating on his spouse Ramona to a large group of Elek-Tek employees that Eugene was committing adultery, which turned out to be true Which cause of action would give Eugene the BEST chance for success m a civil suit against Ramona?
- A. Conflict of interest
- B. Defamation
- C. Public disclosure of private facts
- D. Slander
Answer: C
NEW QUESTION 31
Which of the following is NOT a requirement of the European Union's (EU) General Data Protection Regulation (GDPR)?
- A. An organization must have a documented lawful basis for collecting or processing personal data.
- B. An organization generally must notify all affected data subjects without undue delay when a high-risk data breach occurs
- C. An organization must delete a data subject's personal data automatically when the data are no longer m use.
- D. An organization must confirm or deny that it possesses a data subject's personal data upon that individual's request
Answer: A
NEW QUESTION 32
In most civil law systems, the burden of proof for the government to convict a defendant in a criminal case is beyond a reasonable doubt.
- A. False
- B. True
Answer: A
NEW QUESTION 33
Allison works for a government contractor She informs the government that her employer has been submitting false claims to the government for payment Later it is discovered that Allison has misappropriated more than
$50,000 of her employer's money Alison qualifies as a whistleblower entitled to anti-retaliation protection under the law because of her report to the government Which of the following statements about Allison is CORRECT?
- A. Allison cannot be fired for misappropriating funds from her employer
- B. Alison cannot be fired for informing the government of her employee's fraud
- C. Allison cannot be fired for any reason
- D. None of the above
Answer: B
NEW QUESTION 34
Which of the following is the MOST ACCURATE statement about the different types of alternative dispute resolution'?
- A. The agreements reached in mediations are generally nonbinding.
- B. The decisions reached in all arbitrations are always binding
- C. In a mediation session, the mediator decides who should win the dispute at issue
- D. In an arbitration proceeding the arbitrator acts as a judge or jury by deciding the dispute at issue on its merits
Answer: B
NEW QUESTION 35
Which of the following statements concerning digital currencies, such as bitcoin, is MOST ACCURATE?
- A. Digital currencies are attractive to money launderers because payments often cross jurisdictional boundaries, making it difficult for authorities to pursue enforcement
- B. Digital currencies are not typically used to launder money due to strict customer identification or recordkeeping requirements enforced in all jurisdictions
- C. Digital currencies are subject to all of the same regulations as payments made through traditional financial institutions
- D. Digital currencies are attractive to money launderers because they are a payment method that provides complete anonymity
Answer: A
NEW QUESTION 36
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 the charging documents are filed
- B. When litigation has started
- C. When the party receives a service of process
- D. When the court orders such steps to be taken
Answer: B
NEW QUESTION 37
Which of the following is the MOST ACCURATE statement about serf-regulatory organizations (SROs) in the securities industry?
- A. In most jurisdictions. SROs are prohibited from participating in the resolution of disputes related to securities transactions
- B. An SRO is a governmental entity that exercises regulatory authority over the securities industry in its jurisdiction
- C. In some jurisdictions SROs establish the standards and rules under which members of the securities industry operate
- D. An SRO generally has sole regulatory authority over the securities industry in the jurisdiction in which it operates
Answer: C
NEW QUESTION 38
The Financial Action Task Force (FATF) Recommendations advise countries to do all of the following EXCEPT:
- A. Enable authorities to trace freeze, and confiscate assets suspected in money laundering and terrorist financing
- B. Require financial institutions to keep certain records and establish anti-money laundering policies.
- C. Require financial institutions to monitor their customers' political affiliations.
- D. Use a risk-based approach when setting anti-money laundering policies
Answer: C
NEW QUESTION 39
Which of the following is NOT a legal element that must be shown to prove a claim for fraudulent misrepresentation of material facts?
- A. The victim relied on the misrepresentation
- B. The victim suffered damages as a result of the misrepresentation
- C. The defendant made a false statement (i, e., a misrepresentation of fact)
- D. The defendant acted negligently
Answer: D
NEW QUESTION 40
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 entity's website contains detailed background information.
- C. There are justified gaps in the work history of promoters at the entity
- D. The agents working at the entity have criminal records.
Answer: D
NEW QUESTION 41
Countries A and B both follow the Financial Action Task Force (FATF) Recommendations concerning cross-border transfers of currency Trevor is traveling from Country A to Country B while carrying $16,000 in cash which exceeds Country B's reporting threshold Trevor is required to disclose the amount of currency he is carrying to authorities in Country B.
- A. True
- B. False
Answer: A
NEW QUESTION 42
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 an employment contract
- C. Existence of violation red flags
- D. Existence of interstate compacts
Answer: B
NEW QUESTION 43
Which of the following statements concerning judgments involving parties in multiple jurisdictions is MOST ACCURATE?
- A. If a party obtains a judgment in one jurisdiction, that party will automatically be able to enforce the judgment in any jurisdiction
- B. Whether a foreign judgment is enforceable always depends on where the defendant's assets are located
- C. If a party obtains a judgment in one jurisdiction, that party will automatically be able to enforce the judgment wherever the defendant resides
- D. Whether a foreign judgment is enforceable might depend on whether the two jurisdiction have an enforcement treaty
Answer: D
NEW QUESTION 44
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. Prejudgment attachment
- B. Preservation order
- C. Litigation hold
- D. Declaratory relief
Answer: A
NEW QUESTION 45
The MAIN PURPOSE for maintaining the chain of custody on an item of evidence is to
- A. Verify that the item of evidence has only been handled by court officials prior to its production m court.
- B. Eliminate re need to authenticate the item of evidence in court
- C. Establish that the evidence has not been altered or changed from the time it was collected through its production in court
- D. event opposing parties from accessing evidence without a court order
Answer: C
NEW QUESTION 46
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