Professional Ethics and Conduct Flashcards
7 cards from real CBLE practice questions. Tap to flip, then mark Knew It or Still Learning — missed cards come back until you master them.
Read the first 7 Professional Ethics and Conduct flashcards as text
A customs broker is asked by a new client to file an entry for goods the broker suspects may be counterfeit trademarked merchandise. The broker should:
Answer: Investigate the legitimacy of the goods and refuse to file if counterfeiting is confirmed
A broker who has reason to believe goods are counterfeit must exercise due diligence and cannot file an entry that would facilitate trademark infringement.
Under 19 CFR 111.29, a broker must provide a client with a written statement of the charges. This statement must be provided:
Answer: Within a reasonable time following completion of services
Brokers must provide clients with itemized statements of charges within a reasonable time after services are rendered.
An employee of a licensed brokerage firm who is not individually licensed may NOT:
Answer: Exercise responsible supervision and control over customs business
Only a licensed broker may exercise responsible supervision and control over customs business; unlicensed employees may assist but not supervise.
A broker who pays a fee to a freight forwarder in exchange for referrals of customs business is engaged in:
Answer: An unlawful kickback arrangement that violates 19 CFR 111.36 prohibitions
Paying or receiving fees for referrals of customs business from freight forwarders or others constitutes an unlawful arrangement under 19 CFR 111.
When a broker learns that CBP has initiated a focused assessment on a client's import practices, the broker's first step should be to:
Answer: Notify the client and advise them to seek legal counsel
The broker should promptly notify the client of government scrutiny and advise them to obtain legal counsel to protect their interests.
Which of the following represents a broker's duty of confidentiality?
Answer: Brokers must protect client information and not disclose it except as required by law or with client consent
Brokers have an ongoing duty to protect client confidential information and may only disclose it when legally compelled or with the client's consent.
A customs broker whose license has been voluntarily surrendered may reapply for a license after:
Answer: Demonstrating rehabilitation and meeting all current licensing requirements
A surrendered license does not automatically preclude reapplication, but the applicant must satisfy all current requirements and show fitness for licensure.