Mandatory Training Course 1- Code Of Conduct Quiz

12 Questions | Total Attempts: 494

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Mandatory Training Course 1- Code Of Conduct Quiz

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Questions and Answers
  • 1. 
    Which of the following act is prohibited for all FINCA employees?
    • A. 

      Directly or indirectly accepting bribes from customers / clients

    • B. 

      Reasonable business entertainment and gifts or favors of nominal value or those which are appropriate in the circumstances and not intended as an inducement

    • C. 

      Kickbacks or any other improper benefit which could influence their performance

    • D. 

      Both a&c

  • 2. 
    All FINCA Employees must immediately inform their supervisors of any requests by governmental authorities that indicate risks for the organization, or that are unusual or outside the normal scope of the employee’s responsibilities.
    • A. 

      Yes, All Employees should

    • B. 

      No, They should not

  • 3. 
    Record Keeping and Financial Integrity includes ;
    • A. 

      Compliance with applicable accounting principles and the Company's internal accounting control

    • B. 

      Accurate and complete information shall be given in response to inquiries from the Company's independent auditors.

    • C. 

      Approval of any expense report or other document where the person knows or suspects that any portion of the report is not accurate, is untruthful, or is not in compliance with the Company’s policies.

    • D. 

      All of the above

  • 4. 
    Which of the following statement complies with FINCA COC ?
    • A. 

      FINCA Persons shall not work on a political fundraiser or other campaign activity while on Company time and shall not use any Company assets for these activities.

    • B. 

      FINCA Person may require you to contribute to, support or oppose any political group or candidate.

    • C. 

      FINCA shall comply with all applicable Federal, State and laws and the laws in any country in which we operate on lobbying

    • D. 

      Both A & C

  • 5. 
    Information of FINCA that has not been made public shall be kept confidential except as may be necessary in performing authorized duties or by authorization of the ;
    • A. 

      Head business banking

    • B. 

      Chief Executive Officer or Chairman of the Board of Directors

    • C. 

      Head of Training & OD

    • D. 

      Head of HR or Head of Compliance

  • 6. 
    Any employee found to be engaged in, attempting to, or conspiring as to fraud or theft of assets of FINCA or its clients, or attempting to engage in fraud or theft, will be subject to ­­­_____­­­______, subject to the rules, regulations or law applicable thereto.
    • A. 

      Penalized monetary and will face deduction in salary

    • B. 

      Immediate termination and criminal prosecution

    • C. 

      Suspension on temporarily basis

    • D. 

      Immediate hold on monthly salary till further notice

  • 7. 
    A Conflict of interest may be a transaction between FINCA and a FINCA Person or their family members (a Related Party Transaction), a situation which interferes with judgment or duties at FINCA, or use of their position for reasons not in the best interests of FINCA.
    • A. 

      True

    • B. 

      False

  • 8. 
    Which of the following statement is true?
    • A. 

      Receiving gifts services, loans, preferential treatment, or anything of value, including entertainment, should not be accepted from those with whom FINCA conducts business under circumstances that would compromise judgment

    • B. 

      Gifts of nominal value or meals and social invitations that are in keeping with FINCA business ethics, and not unusually expensive or extravagant, may be accepted where necessary for ordinary business relationships

    • C. 

      Any question about the appropriateness of accepting a gift or invitation should be referred to a supervisor, a compliance officer, or the Office of General Counsel

    • D. 

      All of the above

  • 9. 
    Which of the following activity can result in a dismissal?
    • A. 

      Sharing the bank’s information with other banks

    • B. 

      Taking bribes from a loan client

    • C. 

      Withdrawing cash from a depositor’s account secretly

    • D. 

      Pocketing the money received from the loan clients at the time and then depositing that money later on once salary is received

    • E. 

      All of the above

  • 10. 
    FINCA employees partnering with clients in their business is:
    • A. 

      Profitable for the bank

    • B. 

      A violation of the policy

    • C. 

      Allowed as long as the loan instalments are deposited on time

    • D. 

      A reason for dismissal

    • E. 

      B and D both

  • 11. 
    Giving payments of photo account cheques to the account holder’s guarantor is:
    • A. 

      Ethical since the guarantor can take the payment on behalf of the account holder

    • B. 

      An example of harassment

    • C. 

      An example of theft

    • D. 

      An example of non-compliance of bank’s policies and procedures

    • E. 

      All of the above

  • 12. 
    Verbally abusing and humiliating your employee in case of inefficiency in his/ her work is 
    • A. 

      Allowed since the employee is not getting any work done

    • B. 

      Not allowed since it is a fraudulent activity

    • C. 

      Allowed in order to fulfil your goals/targets

    • D. 

      Not allowed since it is intolerable behavior

    • E. 

      B and D both

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