Employee Compliance Training Quiz

5 Questions

Settings
Please wait...
Employee Training Quizzes & Trivia

If you expect to be an employee in a given organization, you must be sure to adhere to some of the rules put in place either by the organization or government when it comes to your employment. The quiz below is designed to test your understanding of the compliance training you have undergone. Give it a shot and get to understand more.


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