Investigation & Remediation Procedures Flashcards
7 cards from real RCMS practice questions. Tap to flip, then mark Knew It or Still Learning — missed cards come back until you master them.
Read the first 7 Investigation & Remediation Procedures flashcards as text
When conducting a compliance investigation, which action best preserves the integrity of electronic evidence?
Answer: Creating a forensic image of the original storage media
A forensic image creates a bit-for-bit copy that preserves metadata and chain of custody without altering the original evidence.
A compliance officer discovers a potential violation during a routine audit. What is the FIRST step in the investigation process?
Answer: Conduct a preliminary assessment to determine if a formal investigation is warranted
A preliminary assessment determines the credibility and scope of the potential violation before committing resources to a full investigation.
Which privilege most commonly protects communications between legal counsel and employees during an internal compliance investigation?
Answer: Attorney-client privilege
Attorney-client privilege protects confidential communications between an attorney and the client when legal advice is sought.
During a remediation plan, a company identifies a systemic process failure. Which remediation approach addresses root causes most effectively?
Answer: Redesigning the flawed process and implementing new controls
Addressing root causes through process redesign and new controls prevents recurrence rather than addressing only symptoms.
What does the term 'chain of custody' refer to in a compliance investigation?
Answer: The documented chronological record of evidence collection, handling, and storage
Chain of custody documents who collected, handled, and stored evidence to ensure its authenticity and admissibility.
An employee reports a potential FCPA violation involving a foreign subsidiary. Which body typically has jurisdiction over this matter?
Answer: Securities and Exchange Commission (SEC) and Department of Justice (DOJ)
The SEC and DOJ share enforcement authority over FCPA violations involving bribery of foreign officials.
Which factor is LEAST important when prioritizing remediation actions after a compliance investigation?
Answer: The seniority of the employee who caused the violation
Employee seniority should not determine remediation priority; severity, recurrence risk, and deadlines are the substantive drivers.