Essential Elements
NCAA Compliance Laws
UIL Compliance Laws
Monitoring and Auditing
Hospital Compliance
100
All compliance programs should include this particular standard in written form.
What is a written standard of conduct?
100
This organization was formed in 1906 and regulates intercollegiate athletics.
What is the NCAA?
100
This Act provides that the Securities & Exchange Commission pay awards to eligible whistleblowers who voluntarily provides the SEC with original information that leads to a successful enforcement action yielding monetary sanctions of over $1 million.
What is Dodd-Frank Whistle Blower Provision?
100
The measurement of performance against "best practice" standards.
What is benchmarking?
100
This policy protects your individually-identifiable health information or "PHI" (Personal Health Information).
What is HIPAA?
200
This individual serves as the focal point for all compliance activities.
What is a Compliance Officer?
200
The NCAA is divided into three ________, each of which represents different levels of competition.
What is Divisions?
200
The stock of the target company merges with the purchasing subsidiary of the acquiring company. The acquiring company, subsequently, also wholly owns the target company. The target company's shareholders now receive equity in the acquiring company.
What is a Reverse Triangular Merger?
200
This type of audit establishes a set of benchmarks for comparison for future inspections.
What is a baseline audit?
200
This Act, enacted during the Civil War, allows a private individual or "whistleblower", with knowledge of past or present fraud on the federal government, to sue on behalf of the government to recover stiff civil penalties and triple damages.
What is the False Claims Act?
300
This element of an effective compliance program represents the best strategy for prevention.
What is education and training?
300
This is jeopardized when a student-athlete violates a NCAA Rule.
What is athletic eligibility?
300
This body regulates the rates and services of Connecticut's investor owned electricity, natural gas, water and telecommunication companies and is the franchising authority for the state’s cable television companies.
What is the Public Utilities Regulatory Authority (PURA)?
300
This type of audit occurs on an on-going basis, especially as problems arise.
What is a concurrent audit?
300
This law prohibits the solicitation, receiving, offering, or paying of any remuneration directly or indirectly in cash or in kind in exchange.
What is the Anti-Kickback law?
400
At the end of every compliance training, every employee and contracted consultant is required to sign and date a statement confirming his or her knowledge of the standards of conduct.
What is an attestation?
400
This group (in the NCAA) is now able to pass some of their own legislation.
What is the Autonomous/Power 5?
400
This is an annual report required by the Securities Exchange Commission (SEC) that gives a comprehensive summary of the corporation’s financial performance.
What is a 10-K report?
400
This type of audit involves historical data.
What is a retrospective audit?
400
This statute bans physicians from referring health care services to any entity with which the physician has a financial relationship.
What is Stark? or What is the Self-Referral Statute?
500
Lawsuit where a private individual, or "whistleblower," with knowledge of past or present fraud committed against the federal government brings suit on its behalf.
What is a qui tam claim?
500
In regard to violations, Division I has a four-tiered infractions system, while Divisions II and III retains this infractions system.
What is the "major/secondary" model.
500
This Act requires large companies to file a report with the FTC and DOJ before completing a merger, or acquisition so that government regulators can determine whether the transaction would violate antitrust laws.
What is Hart Scott Rodino Act (HSR)?
500
A review of the services performed by a health care provider to evaluate the necessity of the prescribed services.
What is utilization review?
500
Rules that set out a uniform sentencing policy for individuals and organizations convicted of felonies and serious (Class A) misdemeanors in the United States federal courts system.
What are the Federal Sentencing Guidelines?
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