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precio QUESTION 16 Which of the following are key elements of the compliance function? Develop and maintain the right culture Deliver training Advise on regulatory

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precio QUESTION 16 Which of the following are key elements of the compliance function? Develop and maintain the right culture Deliver training Advise on regulatory Issues "Monitor how the business is complying with laws, rules, and regulations" Communicate with business about rules and regulations and with regulators about reg compliance issues Handle regulatory issues through resolution Balance compliance costs and benefits DOOOOO QUESTION 17 Match the legislation to the issues it addresses. Secondary market trading of securitiues New issuance of securities A. Dodd-Frank Accounting Fraud B. Securities Act of 19.44 Financing Startups C. Securities Exchange Act of 1934 D. Sarbanes-Oxley Regulating Mutual Funds E. JOBS Act of 2012 Addressing the weaknesses in the F. Investment Company Act of 1940 systemsshown by the Financial Crisis pf 2008 QUESTION 18 points Click and twit to eat and Chief esc Q Search or enter website name & % 5 4 6 co 7

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