Dol audit - Study guides, Class notes & Summaries

CEBS: GBA/RPA 3 (new curriculum) latest update 100% pass ERISA Employee Retirement Income Security Act 1974 SOC Reports Service Organization Controls: for external vendors SOC 1 Internal Controls & Financial reports; used by auditors SOC 2 Security, availability, processing integrity, confidentiality and privacy controls;used by management, regulators, and others under an NDA SOC3 Same as SOC2, but available for public use. Tribble V Edison Landmark court case re fiduciary responsibility pe...

" Which of the following are key. recommended resources for subcontracting compliance management? ( Select three that apply.) - ANSWER "Small Business Administration (SBA) website Defense Contract Management Agency (DCMA) website Defense Federal Acquisition Regulation Supplement (DFARS) " Which of the following contracts is required to submit a small business subcontracting plan? Each contract has subcontracting possibilities. - ANSWER $1 million services contract awarded to anothe...

ERISA - Answer- Employee Retirement Income Security Act 1974 SOC Reports - Answer- Service Organization Controls: for external vendors SOC 1 - Answer- Internal Controls & Financial reports; used by auditors SOC 2 - Answer- Security, availability, processing integrity, confidentiality and privacy controls;used by management, regulators, and others under an NDA SOC3 - Answer- Same as SOC2, but available for public use. Tribble V Edison - Answer- Landmark court case re fiduciary resp...

WASHINGTON STATUTES AND RULES GOVERNING THE ACTIVITIES OF LICENSEES. QUESTIONS AND ANSWERS, GRADED A+/ The Washington Administrative Code (WAC) compiles the broker's responsibilities and duties.Specific broker duties include: - -Holding a proper license Maintaining licensure requirements Delivering transaction-related contracts and documents to the designated or managing broker no later than two business days after all parties accept Managing consumer funds or property safely and acc...

If a security law is violated, who must legal counsel first report the violation to? A. The DOL B. The PCAOB C. Either the chief legal officer or the company CEO D. Audit committee of the BOD : C. Under SOX, any breach of fiduciary responsibility must be report to either the chief legal officer or the company CEO by either in-house or outside legal counsel. If no resolution occurs, the next step in remaining compliant under SOX regulations is to report the concern to the audit committ...

WA Real Estate Exam Questions With Answers Latest Updated Graded A++. Karen would like to sell her own home. What's the minimum real estate license she must possess? - Answer None Carla is selling her house in Wenatchee to her sister. Neither party wants to be represented. They only want some assistance with handling the paperwork. Who should they consider engaging in this situation? - Answer Transaction coordinator Which designation may you not use in any marketing materials unless you b...

PHR Practice Exam Questions And Answers | 100% Verified | Graded A+ 2024/2025. Which of the following forecasting methods relies on collecting independent evaluations from experts and summarizing the information? A. Assessment center B. Nominal group technique C. Time-series analysis D. Delphi technique - AnswerD. Delphi technique Utilizing employee skills to keep or gain a competitive advantage is known as: A. succession planning. B. forecasting. C. strategic management. D. benchmarki...

WA Real Estate Practice Exam With Answers Latest Updated 2024 (Graded A+) You are recording an accrued expense for your seller client, Sam Bosworth. This represents an item that Sam ____________________. - Answer Has incurred but hasn't paid Because proper trust fund handling and record keeping is extremely important, the ________ conducts routine audits of real estate companies. - Answer Washington State Department of Licensing Karen would like to sell her own home. What's the minimum r...

PHR PREP PRACTICE QUESTIONS AND ANSWERS 2023 If a security law is violated, who must legal counsel first report the violation to? A. The DOL B. The PCAOB C. Either the chief legal officer or the company CEO D. Audit committee of the BOD - correct answer C. Under SOX, any breach of fiduciary responsibility must be report to either the chief legal officer or the company CEO by either in-house or outside legal counsel. If no resolution occurs, the next step in remaining compliant under SOX...

CLC 059 question and answer ,graded A+, latest updated Who decides which post-award contract administrative functions will be delegated and which will be retained by the contracting officer who awarded the contract? Procuring contracting officer (PCO) "Bloom. LLC was recently awarded a $2 million contract for website enhancement services that was set aside for Historically Underutilized Business Zone (HUBZone) small businesses. Bloom's owner recently asked you which of the following ...