WorksheetsHow Deep is Your Love?
Total questions: 10
Worksheet time: 3mins
The __________ line of defence is principally responsible for managing compliance risk inherent in the day to day activities, processes and systems to ensure compliance with all applicable laws, rules, regulations and standards.
First
Second
Third
Final
As business units, which of the following is the right course of action should you discover potential Compliance Event?
Keep quiet and do nothing
Talk to your DCO, HOD and Compliance Department
Write to Bank Negara Malaysia
Email Board of Directors
Investigation on staff misconduct is performed by ________________ Department.
Human Capital
Internal Audit
Compliance
Legal
Which of the following is the Core Regulator for Insurance Industry?
Life Insurance Association of Malaysia
Bank Negara Malaysia
Ministry of Finance
Life Office Management Association
Which of the following is not an example of Compliance Event?
The commissions on riders were calculated based on the basic plan payment term rather than the rider's actual payment term
Agent's personal data accidently sent to other agents
Use company printer to print personal document
No BLISS checking performed after onboarding of clients
