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What Will Happen to a Firm Found to Be in Violation

Question 40

Multiple Choice

What will happen to a firm found to be in violation if the company had proactively tried to prevent misconduct from occurring?


A) The government will rule that their actions were insufficient.
B) Penalties or fines may be reduced.
C) The firm will be forced to hire an ethics officer.
D) Regulators will charge the firm with criminal activities.
E) The firm will incur no punishment.

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