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8009 – Exam IV: Case Studies: Standards: Governance, Best Practices and Ethics - 2015 Edition

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Showing 1–3 of 10 questions

Question 1

Boards of Directors, including Audit and Risk Committees must review thoroughly compensation plans of potentially "highly compensated positions" for:

I. competitive market conditions

II. ensuring compliance with their corporate risk appetite and fiduciary responsibility toshareholders

III. ensuring any discretionary bonus plans are geared towards keeping high income /revenue generators

IV. reporting all such personnel to the local regulator

Select an option, then click Submit answer.

  • ○

    II, III and IV only

  • ○

    I, II and IV only

  • ○

    All of the above

  • ○

    I and II only


  • ○

    competitive market conditions

    II. ensuring compliance with their corporate risk appetite and fiduciary responsibility toshareholders

    III. ensuring any discretionary bonus plans are geared towards keeping high income /revenue generators

    IV. reporting all such personnel to the local regulator
Question 2

The problems at Bankers Trust can best be characterized as failures related to:

Select an option, then click Submit answer.

  • ○

    Market Risk

  • ○

    Credit Risk

  • ○

    Operational and Regulatory Compliance Risk

  • ○

    All of the Above


Question 3

The problems at Bankgesellschaft Berlin can best be characterized as failures related to:

Select an option, then click Submit answer.

  • ○

    Market Risk

  • ○

    Credit Risk

  • ○

    Operational Risk

  • ○

    Both B and C