20SALVE" 50%: Question 20/20 16/20 Correct ( At what frequency is the Statement of Compliance Policy issued? Monthly Daily Quarterly © AnnuallyeOnANA ET NYE SFR NYE NSE scant actay NATE nantes NEAIMTE NALIN IDR VATL ESE Mad cust Sitios camnnmnitting aedSUE nuance %20and KL OFraud%20Assessmenyindex.NtmiZactor= 6717 name“RSANSH"MUNOURSALVENSD WC account A TANSUN 7H" accountServ Question 17/20 13/20 Correct © 6:32 Digvijay is working in SBWS mode. He has some urgent personal commitment, however does not have leaves to avail. He hence requests his neighbour to be logged in during his office hours to indicate availability. Which type of fraud is he committing? Select the correct option(s) and click submit Financial Fraud Electronic Payment Channel Fraud © Remote working Fraud Performance Fraud = .me ¥2AXS"MUNOTICOSALVE-KSD82C zou MSAMSER aco couse 1/20 Correct, Ons 2 checks forall cash transactions processed . Which strategy is ping the project against possible fraudulent transactions10/20 Correct Question 13/20 A client escalation on excessive billing has highlighted an internal fraud committed by the Managers and associates in Unit ABC ? Select the impact of the event on TCS that best suits the incident. Select the comect option(s) and click submit. End of Career Ni impact Loss of future Business opportunities Reputational Damage9B MUNOT%20SALVE"%6SD%2C account" %3A%257 7 accel w:27 Question 7/20 44/20 Conect sia is managing a large Delivery team with 3 activities sub-contracted with vendors. She is gifted with token of appreciation of cash equivalent of 20 USD . Please highlight which policy will guide her for her action of acceptance/rejection © it anc HospitalityQuestion 2/20 20 Comrect wea Parag is the team manager for one of the key IT development projects. There is an indent that needs to be filled in due to an attrition. He has received multiple CV's, however he hires his cousin and instructs him, not to shat fact with HR that they are related. Indicate the potential issues with this arrangement. the © Will ead to Conflict of interest Hiring hasQuestion 17/20 13/20 Correct 2:26 Vikram and Vamshi have been working together as manager and designate since the inception of the team. They do not permit any churn or change to their maker checker team . Subsequently there are multiple errors traced back to both of them basis an escalation received from the customer. Select the response which may have been a red flag that could have helped in early identification © Lack of churn in the roles performed Management designated members, hence no red flag Management by Fear attitude Strong team bondingitimatix.net/Courses/P_Compliance%20and%20Fraud%20Assessment/index htm?actor=%7B"name"%3A%58" MUNOTX2OSALVE"%65D3%42C” account %63A%58%78 "account Question 13/20 W720 Correct | @ 7:33 Org ABC has outsourced a tele calling process to TCS involving inbound sales. Nishith who has been assigned to the project, has been seeking 10 percent as. a commission from the prospective customer for conversion of the leads into sale at discounted rates without the knowledge of ABC. Basis a complaint from one of the customers, of non receipt of a product, the call is investigated and findings lead to the fraudulent misdirection of the deals. Select the impact of the event on ABC that best suits the incident. Reduced Employee Morale Loss of Job © Loss of Trust and Goodwill NilimpactS51" MUNOT2OSALVEKSDI62C account SAHIN necount tultimaticnet/Courses/P.Compli a | 9/20 Comrect @ 9:58 Team ABC has sanctioned overtime, as per contract allowance, The team has not had a team Junch in a long time and hence they decide to inflate the overtime for 15 days and use the amount for the get together. What does this action indicate? Select the correct option(s) and click submn © This action is fraudulent as it involves misrepresenting facts This action is not considered as fraud since the consolidated overtime is used only for team bonding « There is no harm in motivating the team by any means of entertainment This is ok considering the same has been approved by the team management 7Vickyhas submitted fraudulent documents fr his BGC w ‘the event on Vieky that best suits the incident ei! h comes to light during verification. Select the impact of78" name"%3A%5B"MUNOTK20SALVE"%SD%2C account matinetCouses?-Complancets2dandtt20rausz0Aszssmentndexhiecor ISAS 78 accountServie® Question 10/20 8/20 Correct O12 weta isa part ofthe quality check process for a mortgage team. As per SOP, she needs to complete 20 cases Per day and anything additional draws her an incentive. She realizes that there is no calibration performed on the quality cases, hence concludes double the count of validations with approximate scores. Which component of the fraud diamond could help in identification of the rationale behind the action? Capability © opportunity the Vulnerabilityvent/indexntmlfactor: vitimaticnet/Courses/P_Complience%20and%20Fraud%20Asses s7B-name"%63A%S8 MUNOTR20SALVE"%SD%2C account" %63A%5B%7B"accountServiceHon Question 9/20 7/20 Correct Owe Dallan is the engagement owner for a large project involving sub-contracting for a US customer. There has been an instance of a delay in statutory payment. The regulator connect is known to Dallan. Dallan promises a holiday package at a resort to the connect, in exchange to an oversight of the delay. Please indicate the regulation under which this is a violation, ‘Anti Money Laundering (AML) © Foreign Corupt Practices Act (FCPA) Amti-Bribery and Corruption Policy GoPRvatignel/Coursey/P Cony nesetetdutnenensaieliaeesa eta neianinn clin Uh eNO veo OanehhOH au %20Awessment/index html factor = % 1 nan % YANG MUNOI%20SALVE%¢SD%2C"aceount” paniaee neniapenn tena tenseinnesstsertite Ques ion 5/20 3/20 Connect © 15:30 An associate is not responsible for one of these actions, Please select the right option. Lvery Employee is accountable/esponsible for Compliance mutters applicable for their function, business or process Responsible to disclose ected violations of law, tegulation, policies, procedures, to the designated individuals, ny sts deemed potential or actual © Responsible to report compliance violations tothe pre Should understand ancl comply with the policies, ethical standards, laws and regulations reley OUR job2dand%20F rave k2DAssessment/indexhtmactor=%70 "name" %3A%SI feabeseepsenpeicar ec ti ‘evolvecontent.imatinet/Courses/, Compliance “MUNOTX2OSALVE'%550%2C-account %3A%56: Question 12/20 8/20 Correct 10:57 Gary is a team leader performing checker activities for project A, he does not take any leaves nor permits any c training for his project. As an independent observer, please select the statement that is most appropriate: Itis ok for Gary to not take any leaves {© ory not taking leaves i RED fla for potential gaps inthe project leading to fraud Gary isan authorise, he should decide ifto eros tain or not Gary is @ hipot and hence has the capacity to decide on his leaves and cross training requirtultimaticnetyCour 18° name" #24650 MUNOTSS2USALVE6SD%2C account Question 11/20, 7/20 Correct 11:39 Heera has cleared the interview for a project, however does not have the certificate of his final graduation for HR submission, He has a reference who promises to provide him a certificate just like an original to enable submission to HR. Heera agrees to do the same since he believes that graduation certification is only a piece of paper and that he is capable of taking the responsibilities. Which component of the fraud diamond could help in identification of the rationale behind the action? © Rationalization Hypocrisy The Confidencesulnatnet/Courses/?_Conyplanced2dand2OF aud 2OAssessment/ndexhtml?actor=6/8name-%SAWSH MUNOTKZOSALVEKSUS2C account W3AKSBK7B"accountServiceH Question 10/20 6/20 Conrect Ors Shikha has noticed small ticket balances in dormant accounts. She has been a part of the process for a long time and is aware that there is no governance over these accounts. She transfers the funds systematically from these accounts, into her own account. Which component of the fraud diamond could help in identification of the rationale behind the action? © Competenc Feaimatinel/Courset/P_Complance%20and%20F aud Question 8/20 5/20 Correct O13:18 Project XYZ is involved in insurance process which needs certified Underwriter as per contract and the regulatory Quidebook. Nitin has been selected for the project and is in the process of getting himself certified as an Underwriter, Thete are no other associates w ho are certified or are in the process of certification in the unit. Can Nitin perform as an Underwriter? Nitin can perform as an undervi in the process of a ate, hence it will not be a non-compliance © Nitin cannot actin the capacity of an wr +, since his certifca complete Certifications are not material as long as the transactions are getting completed as psCSEUSSSEUPRRT CASALE LEST RRS ‘wuts %20SALVE"%SD2 ultimaticnet/Courses/P_Compiiance%20and%420Fraud%20A essment/indexhiml2actor=%7B"name"%3A account %3AKSB%7B 3/20 Correct 14:47 Rachana is a team leader and wants to guide an on permitted business attire at workplace. Which internal policy will guide her of the same." ' a EEE = = aS Sei renet/Courses/?_Compliance%20and%20F raud%20Assessment/index html?actor=%7B"name"%3A% ‘MUNOT20SALVE"%5D%42C" account" X3A% Question 5/20 2/2 15:22 Deepti has missed to fill her timesheet and is unab'> to access the application from her workplace. She requ to fill her details by sharing her credentials or timesheet updation purpose. Please select the corre response Deepti has shared the ID details fora valid purpose, hence the action is a © 1D sharing is a violation of the Information policy, i be This action is fine as long as Sita uses the acce or timesheet updation purQuestion 4/20 1/20 Conect 16:16 Ralf is processing a trade payment transaction, he receives a document involving the same parties, that was processed recently. As per SOP, the sanctions screenin’ neds to be done for every document received. Since the last transaction was recent, Ralf skips the screening es the case as per the last processed audit trail. Can this action cause a regulatory impact? © Ves, there could be a change in the screening results thus impacting the regulatory permissbilty No, there is no regulatory impact since the screening was just d No, Ralf has the audit trail, hence the processing can be traced toimaticnet/Courses/P_ComplianceSs20and X20Fraud%20Assessment/index html?actor=%78 "name" X3A%58°MUNOT2 ISALVE"SS5D542C account ASANSB Question 3/20 0/20 Correct 7:13 Dan has to create a proposal for a customer. Since he has limited time, he selects a few images as available fre internet to update the PP. Please indicate which policy he may be violating by doing so? Insider trading egulatory clearance © intellectual Property Right Trade Sanctions