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NEW QUESTION # 49
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 informed the principal of their actions
- B. The agent must have had an undisclosed interest m a matter that could influence their professional role
- C. The agent must have been authorized by someone with actual authority to carry out the transaction at issue
- D. The agent must have purported to act on behalf of or as an agent for an identified principal
Answer: B
NEW QUESTION # 50
A prosecutor died criminal charges against Rosa calming that she stole Juan's personal information and sold his identity on the dark web Juan wants to file a civil lawsuit against Rosa to recover damages arising from the identity theft Can Juan file the civil action before the criminal action against Rosa is completed?
- A. Yes, the evil action can be filed if the jurisdiction permits parallel proceedings.
- B. No, the civil action cannot be filed if the jurisdiction prohibits counterclaims.
- C. No, the civil action cannot be filed if the jurisdiction prohibits double jeopardy.
- D. Yes, the evil action can be filed if the jurisdiction permits analogous cairns.
Answer: A
NEW QUESTION # 51
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 recommends an investment or investment strategy that is inconsistent with the client's objectives
- B. A suitability violation occurs when a broker does not carry out a trade requested by or promised to a customer
- 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
Answer: D
NEW QUESTION # 52
Which of the following typically does NOT have to be present for communications between an attorney and the attorney's client to be protected by a legal professional privilege?
- A. Intent to keep the communications confidential
- B. Purpose of the communications was to seek or provide legal advice
- C. Communication between a legal advisor and a client
- D. A lawsuit has been filed
Answer: D
NEW QUESTION # 53
Under the best practices listed in the Financial Action Task Force (FATF) Recommendations concerning large cash transactions with customers which of the following transactions would require a report to be Wed with the government?
- A. An international purchase of a small boat with a lump-sum cash payment below the jurisdiction's designated threshold
- B. A lump-sum cash deposit to a bank above the jurisdiction's designated threshold
- C. A domestic credit card purchase of a piece of jewelry above the jurisdiction's designated threshold
- D. A cash payment to a restaurant supplier for restaurant supplies above the jurisdiction's designated threshold
Answer: B
NEW QUESTION # 54
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. ''Did the person who made the representation intend to mislead potential investors?
- B. "Did the person who made the representation believe that it was suitable for potential investors?"
- C. "Was the misrepresentation made by an authorized individual?"
- D. "Would a reasonable investor wish to know the information to make an informed decision?"
Answer: D
NEW QUESTION # 55
Which of the following is NOT a right of the accused under the United Nations' (UN) International Covenant on Civil and Political Rights (ICCPR)?
- A. Right to be presumed innocent until proven guilty
- B. Freedom from arbitrary arrests
- C. Right to a trial by jury
- D. Right of the accused to be informed of criminal charges
Answer: C
NEW QUESTION # 56
Which of the following is the MOST ACCURATE statement about the UK Bribery Act?
- A. Like the FCPA the UK Bribery Act contains an explicit exception for facilitating payments
- B. Even if an organization's anti-corruption program complies with the FCPA, it might not be sufficient for the purpose of complying with the UK Bribery Act
- C. The UK Bribery Act only exercises jurisdiction over individuals and corporate entities for acts of corruption when the offense occurs outside the United Kingdom
- D. Unlike the FCPA. the UK Bribery Act makes it a crime to bribe a foreign public official in connection with international business transactions
Answer: B
NEW QUESTION # 57
Which of the following is the MOST ACCURATE statement about the litigation privilege in common law jurisdictions?
- A. The primary purpose of the litigation privilege is to protect confidential communications between a client and the client's legal representative
- B. The litigation privilege only protects documents and materials prepared by an attorney
- C. The litigation privilege applies only to documents and materials prepared in anticipation of litigation
- D. The litigation privilege applies only while a trial is underway
Answer: A
NEW QUESTION # 58
Which of the following scenarios is an example of the criminal sanction known as criminal forfeiture?
- 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 his sentence for tax evasion, a Defendant is ordered to pay a fine of $10,000 to the government
- C. As part of her sentence for bribery a defendant is ordered to transfer a car she received as a bribe 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.
Answer: C
NEW QUESTION # 59
During a trial in an adversarial system an attorney calls an expert witness to the stand and asks "Could you please describe the procedures you performed in your examination?'' Based on this question, which type of testimony is MOST LIKELY being presented'?
- A. Request for admission
- B. Impeachment
- C. Cross-examination
- D. Direct exam Ml mi
Answer: D
NEW QUESTION # 60
Each day, Rachel purchases $14 500 in bearer instruments with cash from a bank where all currency transactions above 515,000 must be reported to the government Rachets actions are a red flag of which of the following schemes'?
- A. Real estate laundering
- B. Channel stuffing
- C. Alternative remittance system
- D. Structuring
Answer: D
NEW QUESTION # 61
A custodial arrest occurs when a law enforcement officer informs the suspect of their rights as a criminal defendant
- A. False
- B. True
Answer: B
NEW QUESTION # 62
Tatiana is the chief executive officer (CEO) of Mattress World Warehouse, a retail mattress store that has been struggling financially A week before Mattress World Warehouse files for bankruptcy Tatiana sets ten mattresses to her husband at 80% below market value Which type of fraud scheme has Tatiana MOST LIKELY committed?
- A. A fraudulent conveyance
- B. A fraudulent bankruptcy
- C. A concealed transfer
- D. A planned bustout
Answer: C
NEW QUESTION # 63
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. Declaratory relief
- C. Preservation order
- D. Litigation hold
Answer: A
NEW QUESTION # 64
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
Answer: B
NEW QUESTION # 65
Which of the following statements about the appeals process in cranial cases is MOST ACCURATE?
- A. In civil law jurisdictions appellate courts are generally not permitted to make their own legal conclusions when reviewing a case
- B. In common law jurisdictions, appellate courts are generally not permitted to make their own factual determinations when reviewing a case
- C. Appellate courts will usually hear an appeal even if the petition was not filed in a timely manner
- D. Appellate courts will usually reverse a conviction even if the trial court's error did not affect the outcome of the case
Answer: B
NEW QUESTION # 66
Smith, a Certified Fraud Examiner (CFE). works for the ABC Company, a private entity that operates w\ a jurisdiction with civil laws for defamation, invasion of privacy. and conflict of interest Smith seizes and searches the personal smartphone of Green an employee of ABC even though Green was not suspected of any wrongdong Assuming that Green had a reasonable expectation of privacy in the smartphone and Smith conducted the search without a legitmate interest or authority, under which of the following claims would Green MOST LIKELY be able to recover damages against Smith?
- A. Conflict of interest
- B. Public disclosure of private facts
- C. Intrusion into Green's private matters
- D. Slander
Answer: C
NEW QUESTION # 67
The Organisation for Economic Co-operation and Developments (OECD) Recommendation on Combating Bribery m International Business (Recommendation) urges member states to combat the bribery of foreign public officials by taking steps to improve which of the following primary areas within their respective infrastructures?
- A. Laws and regulations covering e-commerce
- B. Laws and regulations related to public subsidies licenses, and contract procurement
- C. Public health and safety regulations
- D. Consumer data protection laws
Answer: B
NEW QUESTION # 68
Company A sued Company B to recover damages tor 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. Collateral attack
- B. Cross-claim
- C. Reversal
- D. Counterclaim
Answer: D
NEW QUESTION # 69
Which of the following schemes involves disguising money from illegal nonbusiness sources by recording more income on a business's books than the business actually generates?
- A. Structured deposits
- B. Overstate revenues
- C. None of re above
- D. Trade-based laundering
Answer: B
NEW QUESTION # 70
Before her criminal trial for embezzlement Monique contacts witnesses against her and offers to pay them if they change their stories Based on her actions the government would MOST LIKELY bring additional charges against Monique for:
- A. Judicial extortion
- B. Fraudulent misrepresentation
- C. Conspiracy to influence the court
- D. Obstruction of justice
Answer: D
NEW QUESTION # 71
At the end of a civil proceeding, the court finds the defendant, a company, liable and orders it to pay a large sum of money to compensate for the plaintiffs losses. Which of the following BEST describes this type of remedy?
- A. Declaratory relief
- B. Carnages
- C. Injunction
- D. Equitable relief
Answer: B
NEW QUESTION # 72
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
Answer: A
NEW QUESTION # 73
The MAIN PURPOSE for maintaining the chain of custody on an item of evidence is to
- A. Establish that the evidence has not been altered or changed from the time it was collected through its production in court
- B. event opposing parties from accessing evidence without a court order
- C. Eliminate re need to authenticate the item of evidence in court
- D. Verify that the item of evidence has only been handled by court officials prior to its production m court.
Answer: A
NEW QUESTION # 74
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