Your bank has recently received an online application for a new business account from a company named ACE Operations, LLC By reviewing the operating agreement and other documents included in the application, you determine that ACE is incorporated in the U S state of Wyoming.
A review of the Wyoming corporate registry online shows that ACE was formed 15 years ago. An initial Internet search produces no company website or further information about the company. The registered agent's contact information and address on the company's most recent annual filing is for Capital Solutions a corporate services provider.
Concerned that ACE Operations appears to be a shelf corporation you are conducting further due diligence on the company's ownership structure Which is the MOST appropriate next step to take?

• A. Research annual filings in the corporate registry to determine if ACE Operations had any previous owners
• B. Request a company organizational chart that includes members, directors, and other stakeholders
• C. Request that the registered agent submit a self-certification of any parties with a 51% or greater ownership stake in ACE Operations
• D. Request a certificate of good standing from the Wyoming corporate registry for ACE Operations

You are leading the learn at your organization that is tasked with updating the fraud risk assessment. The team determines that the current risk assessment effectively identified the universe of potential fraud risks faced by the organization. The risk assessment also captured how existing fraud riskmanagement and controls address the identified risks. However, the team found weaknesses in other areas.
Which two components should the team include in the development of a sound risk assessment? Choose 2 answers

• A. A robust and auditable investigation conducted in accordance with the antifraud policy
• B. A risk matrix that defines management's risk tolerance
• C. An analysis of the financial resources required to address fraud risks
• D. An analysis of the likelihood and materiality of fraud types

An employee of Company A is injured in a car accident and rushed to a government-owned hospital in Country X. Prior to admitting the patient the head doctor insists that is it customary for foreigners to pay the hospital a generous donation" and insinuates that the patient will not be admitted without the payment.
The request is an example of which offense?

• A. Solicitation
• B. Extortion
• C. Duress
• D. Bribery

A prosecutor in Country X needs to obtain the legally admissible testimony of Person A who resides in the United States, related to an ongoing criminal investigation Person A is incapable ol traveling and will only provide testimony if compelled by a court order in the U.S. There is no bilateral or multilateral treaty or convention that facilitates mutual legal assistance between these two countries.
Which should the prosecutor submit to obtain the testimony of Person A?

• A. A request for a production order
• B. A Mutual Legal Assistance Treaty request
• C. A request for a litigation hold
• D. A Letters Rogatory request

David is the owner of afast-foodrestaurant He has made deposits into his bank account totaling $123,000 of which S51,000 is from cash deposits of mostly small denominations David deposited the S51,000 into his bank account over a one-month period at three different branches using multiple employees to make the deposits which are detailed below.
Branch 1: Deposits were made on February 3 6 and 9 in the respective amounts-$4,000 S6,000 and $5,300 Branch 2: Deposits were made on February 6 9 and 12 in the respective amounts-S3,750, $3,200 and S9,850 Branch 3: Deposits were made on February 3 7. and 13 in the respective amounts-$5,300 $9,750 and $3,850 Which red flags are indicative of money laundering?
Choose 3 answers

• A. Having individuals other than the account signatory make deposits
• B. Conducting transactions at multiple branches
• C. Making multiple transactions under the reporting threshold
• D. Depositing round dollar amounts