Which legislation defines insider dealing and lays down penalties for this offence?
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1 .Under the Bribery Act 2010, a commercial organisation will be liable if a person who is“associated” with it commits an offence under the Act.Who is likely to be an “associated” person?(1) An independent contractor who performs services for the organisation.(2) An agent who deals with the organisations’ customers.(3) A supplier from which the organisation buys goods only.
A 1 and 2 only B 1 and 3 only C 2 and 3 only D All of the above
2 .An effective communication of an organisations’ commitment to zero tolerance of bribery isan example of an anti-bribery measure.Which of the following would NOT be included in this communication?
A The consequences of breaching the bribery policy or contractual provisions relatingto bribery prevention for employees and associated persons respectively B The names of previous employees that have been involved in bribery and thepunishments they received C Reference to the bribery prevention pro...
3 .A fund manager who has acquired some price sensitive information on a company takeoverfrom a trader trades on the basis of that information.Is he guilty of insider dealing?
A No, because the trader’s information will be widely available in the market B Yes, because the information is not widely available in the market C No, but the trader could be
4 .Which of the following is specifically a criminal offence under the Companies Act 2006?
A Bribery B Fraudulent trading C Money laundering D Wrongful trading
5 .Nathan works as an accountant in Moneyneeds Ltd, a financial services company. He isasked to prepare some accounts which he strongly suspects are going to be used to enable thecompany to evade some of its tax liability. He makes a report to the Money LaunderingReporting Officer nominated by his employer but, in fear of losing his job, he also preparesthe accounts as required.What offence has he committed under the Proceeds of Crime Act 2002?
A Money laundering only B Tipping off only C Money laundering and tipping off D He has not committed any offence
7 .Marco runs a language training college. He deposits the proceeds of his criminal activitiesalongside the legitimate receipts of the college, and then disperses the funds through severaloverseas bank accounts.What offence is Marco committing?
A Wrongful trading B Fraud C Money laundering D Fraudulent trading
8 .Frank acts as an agent for Marilyn, purchasing nightwear from a number of differentsuppliers. Sometimes the suppliers pay a commission on orders placed with them by Frankon behalf of Marilyn. Frank regards the commissions as a perk of the job and keeps them.Which of the following best describes the legal position?
A Marilyn may dismiss Frank and recover the amount of commissions retained by him B Commissions are customarily retained by an agent and so Frank has no liability inrespect of them C Marilyn can take action against the suppliers for directing the commissions to Frankinstead of her
9 .The Companies Act 2006 includes provisions relating to fraudulent trading.Which of the following statements is/are correct?(1) The Companies Act 2006 provisions only apply if a business was carried on withintent to defraud or for any fraudulent purpose.(2) A company officer who obtains further borrowing for the company, when hesuspects that the company may not be able to repay it, may be convicted offraudulent trading.
A 1 only B 2 only C Neither 1 or 2 D Both 1 and 2
10 .In relation to the criminal offence of bribery, which of the following statements is/arecorrect?(1) Offering favours to a person in public office in order to circumvent the ethicalguidelines of his professional body is an offence.(2) Bribery may be punished by a term of imprisonment or a fine.
A 1 only B 2 only C Neither 1 or 2 D Both 1 and 2
