RCC Investigations, Reporting, and Ethics 4

Question 1

During an interview in a compliance investigation, the subject employee requests to have a union representative present. Under the NLRA, this right is known as:

Accepted Answer

Weingarten rights

Answer

Weingarten rights, established by the Supreme Court, give unionized employees the right to union representation during investigatory interviews that could result in discipline.

Question 2

A compliance officer conducting a workplace investigation learns that local privacy laws in a European jurisdiction restrict employee monitoring. What is the most appropriate approach?

Accepted Answer

Consult local counsel and adapt investigation methods to comply with applicable privacy laws

Answer

Cross-border investigations require compliance with local laws, including GDPR and other privacy regulations, necessitating consultation with local legal counsel.

Question 3

Which of the following best describes 'tone at the top' in a compliance context?

Accepted Answer

Senior leadership's visible commitment to ethical conduct and compliance

Answer

Tone at the top refers to the ethical environment and leadership example set by senior management, which significantly influences organizational culture.

Question 4

An employee is terminated shortly after filing a workers' compensation claim and suspects retaliation. Which federal law primarily protects employees from retaliation for filing such claims?

Accepted Answer

State workers' compensation statutes and general anti-retaliation principles

Answer

Workers' compensation retaliation is primarily governed by state law, though OSHA and other federal statutes may apply depending on the circumstances.

Question 5

In a Suspicious Activity Report (SAR) filed under the Bank Secrecy Act, what is the 'safe harbor' provision?

Accepted Answer

Filers cannot be held civilly or criminally liable for filing a SAR in good faith

Answer

The BSA safe harbor protects financial institutions and their employees from liability when they file a SAR in good faith, even if the suspicion turns out to be unfounded.

(RCC) Regulatory Compliance Certification Practice Test

(RCC) Regulatory Compliance Certification Practice Test

RCC Investigations, Reporting, and Ethics 4