Securities Act of 1933
Securities Exchange Act of 1934
100
Executive Vice President and General Counsel?
Simon Fish
100
You are committing this if you bill for a service that you did not perform.
What is fraud?
100
Name this regulator: central bank body of the US which promotes the stability of the financial system and seeks to minimize and contain systemic risks through active monitoring and engagement in the U.S. and abroad;
Federal Reserve
200
The Code of Conduct is?
This is a set of guidelines that outlines ethical behavior for employees.
200
Which law governs the actions of Investment Advisors?
Investment Advisers Act of 1940
200
US General Counsel of BMO Financial Group
Andrew Karp
200
It's a violation of the Compliance Policy to do this when you are aware of fraudulent activity.
What is nothing? (What is to not report it?)
200
Name this regulator: charters, regulates, and supervises all national banks and federal savings associations as well as federal branches and agencies of foreign banks
Office of the Comptroller of the Currency
300
What types of risks does Compliance typically manage/oversee?
Legal and Regulatory
300
Which law governs transactions between a bank and its affiliates?
Regulation W
300
Deputy GC and Chief Compliance Officer for BMO Financial Group?
Eric Moss
300
Receiving a large gift in exchange for referrals.
What is a kickback?
300
Name this regulator: protect consumers from unfair, deceptive, or abusive practices and take action against companies that break the law
Consumer Financial Protection Bureau
400
What types of risks does Compliance typically manage/oversee?
Enterprise Compliance Framework
400
Which major Act was passed following the 2008 Financial Crisis to regulate risky behavior in the mortgage industry as well as OTC Derivatives products?
Dodd-Frank Act
400
Chief Security Officer?
Ed Rosenberg
400
Name this regulator: an independent agency of the Government of Canada, established in 1987 to contribute to the safety and soundness of the Canadian financial system. OSFI supervises and regulates federally registered banks
OSFI
500
Which function ensures that their assigned Operating Group follows ECP standards, processes, and tools?
Compliance Team Leads (CTLs)
500
Which Regulation establishes reserve requirement guidelines?
Regulation D (Federal Reserve)
500
Deputy GC & Chief Operating Officer
Richard Stewart
500
Name this regulator: independent agency of the US government created in 1974, that regulates futures, swaps, and option markets.