7360450
Beschreibung
Karteikarten von ross young, aktualisiert more than 1 year ago
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Erstellt von ross young
vor fast 8 Jahre
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| Frage | Antworten |
| Can you name the 6 different types of operational risk? | reputational risk process risk people risk systems risk legal risk event risk |
| When a company introduces a code of conduct is it legally enforceable | No |
| Can you name the five key ethical organisational values that an organisation should include in its code of practice, if it is to comply with the "spirit " of regulations? | Being transparent with customers, colleagues and customers. Paying suppliers on time. Treating employees fairly. Reporting financial information clearly and on time. Open and honest about gifts. |
| What is the maximum punishment for money laundering | Unlimited fine and 14 years jail |
| Is "tipping off" an offence | Yes you can be prosecuted and face up to 5 years imprisonment. |
| If during a social conversation you hear of suspected money laundering activities are you obliged to report it? | No |
| If an accountant fails to report a suspicion of money laundering to the firms MLRO or the NCA is there an offence committed? | Yes, failure to disclose is an offence that can carry a punishment of up to 5 years imprisonment. |
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