Training Quiz & Answer Key

 

 

Instructions

Time Allowed: 60 minutes

Passing Score: 80%

Materials Allowed: Closed book

Format: Complete the quiz in one sitting

Quiz Sections

1. Multiple Choice Questions (5 Points)

No.	Question	Options
1	Which act requires financial disclosure from public companies?	A) Sarbanes-Oxley  B) GDPR  C) COPPA
2	What is corporate governance?	A) Marketing strategy B) Framework of rules C) Sales process
3	What does ESG stand for?	A) Ethical Standards Group  B) Environmental, Social, Governance C) Economic Solution Grid
4	Which of these is a fiduciary duty?	A) Duty of Loyalty B) Duty of Speech C) Duty of Respect
5	What is compliance?	A) Avoiding taxes B) Adhering to laws C) Creating policies

 

2. True or False (5 Points)

No.	Question	True or False
1	All companies must adhere to GAAP.
2	A compliance officer is responsible for marketing strategies.
3	Insider trading is legal.
4	[Your Company Name] has a Code of Conduct.
5	ESG factors are only concerned with environmental issues.

 

3. Fill in the Blanks (5 Points)

 

1. The ________________ department is responsible for assessing compliance risks.

2. GDPR is a regulation that protects ________________.

3. A ________________ is a senior executive responsible for managing a company's legal affairs.

4. ________________ is the practice of distributing shares among employees.

5. The ________________ outlines ethical conduct within the company.

 

D. Short Answer Questions (5 Points)

 

1. Explain the role of a compliance officer.

2. What is the purpose of an internal audit?

3. List two fiduciary duties of a board member.

4. Define the term "Corporate Social Responsibility."

5. Describe one risk of non-compliance.

 

E. Case Studies (5 points each)

 

1. If a colleague is leaking confidential information, what steps would you take?

2. How would you handle a violation of the Code of Conduct by a team member?

3. Describe the correct protocol for reporting a compliance issue.

 

Answer Key

1. Multiple Choice Questions

No.	Question
1	A) Sarbanes-Oxley
2	B) Framework of rules
3	B) Environmental, Social, Governance
4	A) Duty of Loyalty
5	B) Adhering to laws

2. True or False

No.	Question
1	True
2	False
3	False
4	True
5	False

 

3. Fill in the Blanks

 

1. Compliance

2. Personal data

3. General Counsel

4. Stock option

5. Code of Conduct

 

D. Short Answer Questions

1. [Answer]

2. [Answer]

3. [Answer]

4. [Answer]

5. [Answer]

 

E. Case Studies

1. [Answer]

2. [Answer]

3. [Answer]

 

Submission Guidelines

Please send your completed quiz to [Your Email] by [Submission Date]. Results will be communicated within 3-5 business days.

 

Contact Information

Name: [Your Name]

Email: [Your Email]

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