Employee Compliance Training Quiz

5 Questions

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Employee Training Quizzes & Trivia

Questions and Answers
  • 1. 
    Regulatory compliance is something everyone within the Company should be proactive about.
    • A. 

      True

    • B. 

      False

  • 2. 
    The Chief Compliance Officer is the only person who should care about compliance issues.
    • A. 

      True

    • B. 

      False

  • 3. 
    Documentation is an important part of a compliance program.
    • A. 

      True

    • B. 

      False

  • 4. 
    Material non-public information should be disclosed to the Chief Compliance Officer when:
    • A. 

      It is information from within the Company

    • B. 

      It is information from an outside source

    • C. 

      You are not sure if it is material non-public information, but think it might be.

    • D. 

      All of the above

  • 5. 
    You need to disclose personal holdings and brokerage accounts that you have direct or indirect beneficial ownership of.  This includes:
    • A. 

      Your spouse's accounts

    • B. 

      Your minor childrens' accounts

    • C. 

      Your adult parents' accounts when they are living in your household

    • D. 

      All of the above