IIA IIA-CIA-Part2 Quiz 102 Topic 2 Questions 506-510

Question: 1

An internal audit plan should include a review of the organization's compliance program and its procedures, including reviews to determine all but which of the following?

AThe effectiveness of written materials.

BThe receipt of communications by employees.

CThe appropriate handling of detected violations.

DThe performance of full background checks on employees and new hires.

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Question: 2

Which of the following is an effective tool for uncovering unethical or illegal activity in an organization?

AThe screening of applicants.

BThe ethics interview.

CThe background check.

DThe ethics questionnaire.

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Question: 3

Which of the following are forms of punishment for those who violate an organization's code of conduct?

i. A warning

ii. Loss of pay

iii. Suspension

IV. Termination

AI and II only.

BI, III, and IV only.

CI, II, and Ill only.

DI, II, Ill, and IV.

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Question: 4

Termination or other discipline of employees maybe limited by all of the following except

AWhistle-blower laws.

BEmployer responsibilities with regard to employer good faith doctrines.

CUnion contracts.

DExceptions to the employee-at-will doctrine.

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Question: 5

An organization with an effective regulatory compliance program displays which of the following characteristics?

AIt punishes unethical or illegal activity based on seniority.

BIt disciplines those who knew of the misconduct and did not report it, but not those who should have known but did not know.

CAfter an offense is detected, the organization takes the necessary steps, short of modifying its program, to prevent further similar offenses.

DIt thoroughly documents employee discipline.

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IIA IIA-CIA-Part2 Quiz:102 Topic:2 Questions:506-510