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True or False: The credit union's BSA Officer is ultimately responsible for the credit union's BSA compliance. - Correct answer-False. Although the BSA Officer is responsible for coordinating and monitoring day-to-day BSA/AML compliance and managing all aspects of the BSA compliance program, the credit union's board of directors is ultimately responsible for the credit union's compliance. This is why it is critical that the board of directors designate a qualified BSA officer and rece...

Certified Ethical Hacker Part 1 Questions and Answers Already Passed What threat type is a spouse, friend, or even client of an employee who uses the employee's credentials to gain access? Insider affiliate Which port numbers are used for SNMP? 161 and 162 Which port number is used for SSH? 22 What is the darknet? Network, software or service available outside of normal internet traffic and search engines Which type of password attack attempts every combination of characters? Brute force ...

CPH Exam 230 Questions with Verified Answers When are suitability requirements not applicable? - CORRECT ANSWER For brokers who do not provide investment advice or operate as a separate legal entity How is a new product approved? - CORRECT ANSWER After review from the New product Committee What are the ethical principles for a code of ethics? - CORRECT ANSWER Trust, integrity, justice, fairness, and honesty What are the 5 Standards of Conduct? - CORRECT ANSWER Duty of Care, Tru...

The SMC Capital, Inc. No-Action Letter (September 5, 1995) states that trade allocations may occur: A. Only on a rotational basis B. On a pro rata basis but other allocation methods can be used without violating the Advisers Act C. Only on a pro rata basis D. Based on the trader's good faith discretion - Answer B. On a pro rata basis but other allocation methods can be used without violating the Advisers Act Which of the following should NOT be a factor when evaluating best execution? ...

CFA- Level 1 Ethical & Professional Standards Exams 72 Questions with Answers What are the seven standards of professional conduct? (LOS 1.b) -CORRECT ANSWER I: Professionalism II: Integrity of Capital Markets III: Duties to Clients IV: Duties to Employers V: Investment Analysis, Recommendations, and Actions VI: Conflicts of Interest VII: Responsibilities as a CFA Institute Member or CFA Candidate What are the six components of the Code of Ethics? (LOS 1.b) -CORRECT ANSWER o *Act...

FINRA Series 79 Exam Study Guide with Verified Solutions Debt to capitalization ratio use _____________ - Answer️️ -book value, including of equity Green shoe clause - Answer️️ -agreement allowing the underwriters to sell additional shares if demand is high for an offering of securities; can be in part or in full at any price can allow underwriter to profit -doesn't need to be approved by underwriter once its disclosed in the prospectus A company that is not a commercial bank ...

CPH Exam 230 Questions with Verified Answers When are suitability requirements not applicable? - CORRECT ANSWER For brokers who do not provide investment advice or operate as a separate legal entity How is a new product approved? - CORRECT ANSWER After review from the New product Committee What are the ethical principles for a code of ethics? - CORRECT ANSWER Trust, integrity, justice, fairness, and honesty What are the 5 Standards of Conduct? - CORRECT ANSWER Duty of Care, Tru...

IACCP Master Questions Bank with Answers 100% solved Rated A+IACCP Master Questions Bank with Answers 100% solved Rated A+ Contains marking scheme The SMC Capital, Inc. No-Action Letter (September 5, 1995) states that trade allocations may occur: A. Only on a rotational basis B. On a pro rata basis but other allocation methods can be used without violating the Advisers Act C. Only on a pro rata basis D. Based on the trader's good faith discretion – Which of the following should ...

NCE Exam questions & answers 2023/2024 latest updateNCE Exam questions & answers 2023/2024 latest update cognitive dissonance - Correct Answer-motivation to reduce discomfort (dissonance) caused by inconsistency in attitude and behavior bystander effect - Correct Answer-the greater the number of bystanders who witness an emergency, the less likely any one of them is to help psycho-social theory - Correct Answer-the belief that social interactions are more important than sexual...

NCE Exam questions & answers 2023/2024 latest update NCE Exam questions & answers 2023/2024 latest update cognitive dissonance - Correct Answer-motivation to reduce discomfort (dissonance) caused by inconsistency in attitude and behavior bystander effect - Correct Answer-the greater the number of bystanders who witness an emergency, the less likely any one of them is to help psycho-social theory - Correct Answer-the belief that social interactions are more important than sexu...