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?
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1 .When may directors be held liable to contribute to the assets of an insolvent company inrespect of “wrongful trading”?
A When the directors have the intention of defrauding creditors B Whenever a company’s liabilities exceed its assets C Whenever a company becomes insolvent D When the directors knew or ought to have known that insolvency was inevitable
2 .The court has decided that Jill, a director of Jay Ltd, has been wrongfully trading.What are the possible consequences for Jill?
A She may be fined B She may be imprisoned C She may be required to contribute to the assets of Jay Ltd D She may be required to sell her shares in Jay Ltd
3 .A UK-based company was bidding for a major haulage contract. Without the knowledge ofthe owners or management one of its employees paid a bribe to ensure the award of thecontract.Who may be prosecuted and on what grounds?(1) The company, for failing to prevent bribery.(2) The employee, for giving a bribe.
A 1 only B 2 only C Neither 1 nor 2 D Both 1 and 2
4 .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
5 .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...
7 .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
8 .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
9 .Which legislation defines insider dealing and lays down penalties for this offence?
A Financial Services and Markets Act 2000 B Proceeds of Crime Act 2002 C Criminal Justice Act 1993 D CompaniesAct 2006
10 .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
