Page 165 - CAPE Financial Services Syllabus Macmillan_Neat

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14. An online user sends an email to Bill, the manager of the data department at ADCO,
asking him to add him as a friend on Facebook, with the sole intention to steal his client’s
information.

Which of the following acts is committed by the online user?

(A) Drive by
(B) Phishing
(C) Pharming
(D) Social engineering

15. Futures contracts are LEAST likely to be traded on which of the following exchanges?

(A) Nasdaq exchange
(B) Chicago Board of Trade
(C) New York Stock Exchange
(D) Chicago Mercantile Exchange

16. Which of the following officers, besides the Compliance Officer, has responsibility for
Compliance?

I. CEO
II. Directors
III. Employees

(A) I only
(B) I and II only
(C) I and III only
(D) I, II and III

17. Which of the following are examples of processes and procedures that need to be received
by the Compliance Officer?

I. Daily accounting entries of securities transactions
II. Reconciliation activities of the back office
III. Ensuring proper segregation of clients' funds

(A) I and II only
(B) I and III only
(C) II and III only
(D) I, II and III

02269010/SPEC2016

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