Presentations Regulatory Frameworks & Compliance 5 — Questions and Answers
Question 1: A US company's presentation to a foreign government official includes an offer of 'consulting fees' in exchange for a contract. This most directly triggers liability under:
- The Foreign Corrupt Practices Act (FCPA) (Correct answer)
- The Export Administration Regulations (EAR)
- OFAC sanctions compliance rules
- The Robinson-Patman Act
Correct answer: The Foreign Corrupt Practices Act (FCPA)
The FCPA prohibits US persons and companies from bribing foreign government officials to obtain or retain business, regardless of where the presentation occurs.
Question 2: When a presentation includes music or video clips, which licensing framework most governs the right to use that content publicly?
- Creative Commons Attribution 4.0 covers all commercial use automatically
- Public performance rights and synchronization licenses under copyright law (Correct answer)
- The Digital Millennium Copyright Act (DMCA) takedown system only applies
- Fair use permits all use of copyrighted media in educational presentations
Correct answer: Public performance rights and synchronization licenses under copyright law
Playing music or video in a public presentation typically requires public performance rights and, for video with music, synchronization licenses from the rights holders.
Question 3: A presentation delivered via webinar to participants in the European Union must comply with GDPR when it:
- Collects attendee registration data including names and email addresses (Correct answer)
- Uses slides designed outside the EU
- Is hosted on a US-based platform without EU data storage
- Lasts longer than 60 minutes
Correct answer: Collects attendee registration data including names and email addresses
Collecting personal data (names, emails) from EU residents during webinar registration triggers GDPR obligations, including lawful basis, transparency, and data subject rights.
Question 4: Under Title VII of the Civil Rights Act, a presentation that includes jokes targeting employees based on race or religion during a company training session could expose the employer to liability for:
- Constructive dismissal only
- Creating a hostile work environment (Correct answer)
- Wrongful termination claims
- Age discrimination under the ADEA
Correct answer: Creating a hostile work environment
Presentations containing discriminatory jokes about protected classes can constitute harassment and contribute to a hostile work environment, creating employer liability under Title VII.
Question 5: A publicly listed company discloses a material merger in an earnings call presentation before issuing a press release. Under SEC rules, this requires:
- Filing a Form 8-K simultaneously or promptly to make the information public (Correct answer)
- Approval from the PCAOB before disclosure
- Waiting 48 hours before any public statement
- Filing a Form S-1 to register the new securities immediately
Correct answer: Filing a Form 8-K simultaneously or promptly to make the information public
Regulation FD requires that when material non-public information is disclosed in a presentation, the company must file a Form 8-K or issue a press release simultaneously or promptly to ensure public access.
Question 6: A state government agency's presentation using federally funded research data must comply with which open data requirement?
- FOIA requires all federally-funded research data to be made publicly available upon request (Correct answer)
- The Bayh-Dole Act grants the agency exclusive IP rights over all findings
- OMB Circular A-130 prohibits sharing any federal data with the public
- Executive Order 13642 mandates that open data must be kept confidential
Correct answer: FOIA requires all federally-funded research data to be made publicly available upon request
FOIA (Freedom of Information Act) generally requires that data produced using federal funding be made available to the public upon request, promoting government transparency.
Question 7: A presenter at a financial services firm shares a client's anonymized portfolio allocation as a 'case study' without obtaining prior consent. This most likely violates:
- SEC Rule 206(4)-1 regarding investment adviser advertising (Correct answer)
- The Bank Secrecy Act's suspicious activity reporting rules
- CFTC speculative position limits
- The Gramm-Leach-Bliley Act's safeguards rule only
Correct answer: SEC Rule 206(4)-1 regarding investment adviser advertising
SEC Rule 206(4)-1 (the Marketing Rule) governs how investment advisers can use client performance data in presentations, requiring specific conditions even for anonymized case studies.
Presentations Regulatory Frameworks & Compliance 5
A US company's presentation to a foreign government official includes an offer of 'consulting fees' in exchange for a contract.
This most directly triggers liability under: