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CFE-LAW試験は、詐欺調査と金融犯罪に関連する幅広いトピックをカバーしています。この試験は、詐欺防止と抑止、金融取引と詐欺スキーム、調査と法律、詐欺試験など、4つのセクションで構成されています。試験はコンピューターベースで、多肢選択式の質問で構成されています。 CFE-LAW認定を獲得するには、候補者は学士号と2年間の詐欺試験または関連分野の経験が必要です。認定は2年間有効であり、継続的な教育と専門能力開発が必要です。
質問 # 51
Ellis works for a business that filed for bankruptcy. The administrator presiding over the bankruptcy contacts Ellis and requests information regarding his employer's financial affairs Assuming the administrator has all of the powers recommended in the World Bank Principles for Effective Insolvency and Creditor/Debtor Regimes (World Bank Principles) which of the following is TRUE?
- A. The administrator may compel Ellis to provide the information despite Ellis's relationship to the business
- B. The administrator may not obtain the information unless the business agrees in writing
- C. The administrator may only seek information regarding the bus ness that filed bankruptcy if Ellis consents to providing it.
- D. The administrator has no power to obtain the information under any circumstances
正解：A
質問 # 52
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. Communications fraud
- B. Wire fraud
- C. Mail fraud
- D. Insider trading fraud
正解：C
質問 # 53
Company A sued Company B lo recover damages for the breach of a contract. In the same proceeding.
Company B sought damages for an allegation that Company A fraudulently induced Company B into entering the contract. In this case, what would Company B's claim against Company A be called?
- A. Reversal
- B. Collateral attack
- C. Counterclaim
- D. Cross-claim
正解：C
質問 # 54
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. Declaratory relief
- B. Litigation hold
- C. Preservation order
- D. Prejudgment attachment
正解：D
質問 # 55
Jackson believes he has a legal cause of action against Alice, who lives in a foreign country. The fact that Jackson is the plaintiff allows him to bring the lawsuit against Alice in any court in the country where he lives.
- A. False
- B. True
正解：B
質問 # 56
Which of the following is the MOST ACCURATE statement about the circumstances under which a conflict of interest claim would be actionable against an agent?
- A. The agent must have purported to act on behalf of or as an agent for an identified principal
- B. The agent must have had an undisclosed interest m a matter that could influence their professional role
- C. The agent must have informed the principal of their actions
- D. The agent must have been authorized by someone with actual authority to carry out the transaction at issue
正解：B
質問 # 57
If Mary uses legal means to lower her tax bill through legitimate deductions and credits she is engaging m tax evasion
- A. False
- B. True
正解：A
質問 # 58
Which of the following statements about the International Organization of Securities Commissions (IOSCO) s TRUE?
- A. IOSCO provides a forum for regular cooperation on banking supervisory matters affecting developing nations
- B. IOSCO is an oversight body responsible for issuing and enforcing regulations that govern all international securities markets
- C. IOSCO is a self-regulatory organization for companies that have securities traded on international securities markets
- D. IOSCO is recognized as the international standard-setter for securities markets
正解：D
質問 # 59
Dodd is a Certified Fraud Examiner (CFE) who works for Weathervane, a private company Dodd suspects that Burton a Weathervane employee has embezzled money from the company Dodd plans to conduct an internal investigation into the missing funds Based on these facts which of the following is the MOST ACCURATE statement?
- A. Burton can refuse to cooperate with the investigation because he has a fundamental right to remain silent
- B. Burton likely has a duty to cooperate with the investigation as part of the employer-employee relationship
- C. Burton can refuse to cooperate with the investigation because he has a fundamental right to privacy
- D. Burton has a duty to cooperate with the investigation even if what is requested from him is not reasonable
正解：B
質問 # 60
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 interstate compacts
- D. Existence of violation red flags
正解：B
質問 # 61
The Financial Action Task Force (FATF) Recommendations slate that a financial institution s customer due diligence (COD) procedures should include continued monitoring of a customer's business relationships and transactions.
- A. False
- B. True
正解：B
質問 # 62
Which of the following is generally NOT one of the goals of deferred prosecution agreements?
- A. To get an organization to reform its policies
- B. To reduce the risk of illegal practices at an organization
- C. To allow prosecutors to resolve a case while still punishing malfeasance
- D. To postpone prosecution until a company conducts an extensive internal investigation
正解：D
質問 # 63
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. Personal attack
- B. Myopic vision
- C. Sounding board
- D. Bias
正解：B
質問 # 64
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 enters into transactions and manages a client's account for the purpose of generating excessive commissions
- D. A suitability violation occurs when a broker recommends an investment or investment strategy that is inconsistent with the client's objectives
正解：C
質問 # 65
In jurisdictions that allow for corporate criminal liability which of the following is typically required for the corporation to be vicariously liable for the acts of one of its employees?
- A. The corporation had previous violations of a similar nature
- B. The employee was acting within the scope of their employment
- C. Management knew of the underlying offense but did not correct it
- D. Management was directly involved with the offense
正解：B
質問 # 66
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