Which of the following is NOT true with regard to tracing the disposition of loan proceeds?

• A.Tracing loan proceeds can reveal previous civil offenses committed by the subject
• B.Tracing loan proceeds can determine if the proceeds were deposited into hidden accounts
• C.Tracing loan proceeds can uncover previously unknown witnesses
• D.Tracing loan proceeds can determine if hidden accounts were used for loan payments.

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Which of the following is the MOST ACCURATE statement about rules prohibiting securities broker-dealers from making unsuitable recommendations on investments or investment strategies?

• A.A suitability violation occurs when a broker does not carry out a trade requested by or promised to a customer
• B.A suitability violation occurs when a broker recommends an investment or investment strategy that is inconsistent with the client ' s objectives
• C.A suitability violation occurs when a broker trades in a client ' s account without obtaining prior approval for making the transaction(s).
• D.A suitability violation occurs when a broker enters into transactions and manages a client ' s account for the purpose of generating excessive commissions

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Which of the following is the MOST ACCURATE statement regarding a fraud examiner's ability to trace cryptocurrency transactions?

• A.Information about cryptocurrency ownership can sometimes be revealed by analyzing a subject's bank statements.
• B.Each blockchain transaction contains direct identifying information that can be used to find cryptocurrency users.
• C.Most jurisdictions do not require digital wallet providers to record any personal information about cryptocurrency users.
• D.Most cryptocurrencies rely on private blockchains, which require court orders to obtain transaction information.

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Which of the following statements about the different types of alternative dispute resolutions is CORRECT?

• A.In an arbitration proceeding, the arbitrator assists the parties in finding a mutually agreeable resolution to their dispute.
• B.In arbitration, the final determination is always binding upon the parties.
• C.In mediation, the final settlement agreement is a binding contract.
• D.In a mediation session, the mediator decides the outcome of a case by deciding which party should win the dispute.

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Hongwei, a fraud examiner, is conducting an admission-seeking interview with Harsha, an employee suspected of making personal purchases using the company's credit card. Which of the following options is the MOST EFFECTIVE phrasing for Hongwei to use when asking Harsha an admission-seeking question?

• A."Do you know all the employees who have access to the company's credit card?"
• B."Did you misuse the company credit card by making personal purchases?"
• C."Have you heard of anyone making personal purchases using the company's credit card?"
• D."Why did you make personal purchases using the company's credit card?"

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