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NEW QUESTION: 1
고의적 인 위법 행위가 의심되는 경우 어떤 상황에서 내부 감사가 수행되지 않습니까?
A. 경영진은 강력한 내부 통제를 유지하지 않습니다.
B. 경영진은 불법 행위에 관여합니다.
C. 경영진은 신뢰할 수 있는 직원이 유죄 일 수 있다고 생각하지 않습니다.
D. 경영진이 병렬 조사를 수행하고 있습니다.
Answer: D

NEW QUESTION: 2
Needy Investment Advisers, LLC needs a loan. One of its wealthier clients has offered to lend the firm the
money at the prime rate of interest. A promissory note is drawn up stipulating the terms of the loan. Based
on these facts,
A. Needy is not in danger of violating any securities laws since the loan was unsolicited and has been
properly executed via a promissory note.
B. Needy is in violation of securities laws by acting as an issuer of securities.
C. Needy will be in violation of securities laws unless a waiver of compliance form is signed by the client
and submitted to the administrator.
D. Needy is in violation of securities laws only if the face value of the note is for $50,000 or more.
Answer: B
Explanation:
In accepting a loan from a wealthy client, Needy is in violation of securities laws by acting as
an issuer of securities. Under NASAA Model Rules, investment advisers may not borrow money from
clients unless the client is in the business of lending money, as would be the case if the client were a
financial institution. It doesn't matter if the client is in agreement with the loan; waiver of compliance
agreements are prohibited by both the NASAA Model Rules and the Investment Advisers Act of 1940. Nor
does it matter that the loan was unsolicited and formalized with a promissory note.

NEW QUESTION: 3
Which three factors can influence the rate of redo apply on a physical standby database? (Choose three.)
A. the number and size of standby redo logs on the standby database
B. the number and size of standby redo logs on the primary database
C. the network latency between the primary and standby databases
D. the number of archiver processes on the standby database
E. the rate of redo generation on the primary database
Answer: A,C,D
Explanation:
Explanation
Consider using the following methods to optimize the time it takes to apply redo to physical standby databases.
* (B) Set Parallel Recovery to Twice the Number of CPUs on One Standby Host
* (E) During media recovery or Redo Apply, the redo log file is read, and data blocks that require redo application are parsed out. With parallel media recovery, these data blocks are subsequently distributed evenly to all recovery processes to be read into the buffer cache. The default is serial recovery or zero parallelism, which implies that the same recovery process reads the redo, reads the data blocks from disk, and applies the redo changes.
References: https://docs.oracle.com/cd/B19306_01/server.102/b14239/manage_ps.htm#BACHIBGG