1.
ICICI Group expects all its employees, officers and directors to act in accordance with high
professional and ethical standards.
True
2. Rajneesh, is a Chief Manager in ICICI Group. He applied for a housing loan of an exorbitant sum
which he was not eligible for. Surprisingly the loan was sanctioned. Does this amount to conflict of
Interest?
Yes
3. Who is the sole judge to decide upon the categorisation of breaches and corrective actions?
The comoany.....
4. ICICI Group follows zero tolerance approach towards
Bribery and Corruption-----
Insider Trading
5. Employee medical information needs to be protected.
True
6. Your profile gives you access to information/database of I Bank customers which is required by your
colleague in another department
You transfer data to the colleague as per his requirement.
Check and take permission if required from superiors or appropriate authority before doing so.
7. Any act which is against the ethos/culture of the company is a __________.
Gross/Serious Violation
Irregularity in a High Risk Area
8. The standards of the Code are simply what is prescribed by the regulators.
False
9. Sheetal, an ICICI Group employee accidentally stumbled upon some non-public information. She
knows that the information is a valuable tip for any outsider. She is wondering if it is alright to share it
with someone. What is your opinion?
It is not right to share the information with anyone. It is a non-public information and not meant for
outsiders.-----
It is alright to share the information with anyone who can benefit with the information. Afterall, she did
not dig in for the information; she just stumbled upon it accidentally.
10. Acts of ignorance which leads to leakage of confidential and proprietary information does not lead
to investigation and probe against employees.
False
11. ____________ has primary authority and responsibility for the enforcement of `The Code`
HR department
Committee of Directors or an appropriate internal committee
The Head, Corporate Legal Group
Board Governance and Remuneration Committee
12. Priti, an ICICI Group Officer, is against selling a product that is profitable for the Group but not
appropriate for the customer. Does this amount to conflict of Interest?
No
13. Before you accept a position as a director of an unaffiliated for-profit company or a professional
organisation/ association outside ICICI Group, you need to take intimate
HR department
Committee of Directors or an appropriate internal committee
14. Exercise requisite ___________while accepting a customer and undertaking a transaction and make
reasonable enquiries in case of doubt.
Due diligence-----
Escalation
Applicable procedures
15. ICICI Group does not do business with drug traffickers, money launderers and other criminals.
True
16. Using proprietary knowledge obtained through the course of employment to make investments that
are not in the best interest of the ICICI Group is an example of
Personal investment that is contrary to the ICICI Group`s interests-------
17. You will not be penalised by ICICI Group for delayed performance of a transaction solely on the
grounds of
Refusal to pay bribes
18. Unauthorised use or distribution of proprietary information may result in potential legal and
disciplinary actions.
True
19. The quality of our relationships with our suppliers and other external counter-parties has a direct
bearing on our business.
True
20. Your obligation to protect the ICICI Group`s proprietary and confidential information
Applies only till you are a part of the Group
Continues only till the date your resignation is accepted
Severs on the date your layoff notice comes into effect
Continues even after you leave the Group----
21. ICICI Group expects that an employee shall not directly or indirectly convey or solicit or attempt to
induce any employee or business associate to leave their current employment with the ICICI Group and
join the service of the new employer or any competitay)
true
22. Prejudice an investigation by informing the person who is the subject of a suspicious transaction is
a _______________ action.
Correct Action
Deterrent Action----
23. It will not amount to an offence, if you undertake and\or facilitate transactions involving criminal
activities in your ignorance.
False
24. Amendments to `The Code `must be approved by the
HR department
Board of Directors
The Head, Corporate Legal Group
25. Failure to report suspicious transactions despite having knowledge is an offence.
True
26. The standards of the Code guide on what must be done for every issue that may arise or every
situation where ethical decisions must be made.
False
27. ICICI Group does not and is not responsible to assist law enforcement agencies.
False
28. We uphold the principle that advancement is based on talent and performance, but there is no
commitment to equal opportunity.
False
29. To protect the integrity of ICICI Group and its subsidiaries and affiliates, it is essential that an
employee conIt is ICICI Group`s Policy is toducts his\her personal trading as per _______________.
Insider Trading Code ------
Conflict of Interest Policy
Whistle Blower Policy
None of the above
30. An Employee must ensure that records, data and information owned, collected, used and managed
for ICICI Group are accurate and complete.
True
31. You can make misleading reports, claims or statements to government\regulatory authorities to
cover up on any lapses that could have occurred.
False
32. Withholding of increment is a form of ______________.
Cautionary Action
33. The ICICI Group _____________ conduct that implies granting or withholding favours or
opportunities in return for compliance of the concerned individual.
discourages
34. As an ICICI Group employee, officer or director one must seek to avoid even the appearance of
improper behaviour.
True
35. ICICI Group expects all its employees, officers and directors to act in accordance with high
professional and ethical standards.
True
36. ICICI Group does not ensure diversity of workplace through efforts to recruit, develop and retain
the most talented people from a diverse candidate pool.
False
37. Withholding of promotion is a form of ______________.
Deterrent Action
38. __________ prohibits unwelcome advances, requests for sexual favours, or other verbal or physical
conduct which unreasonably interferes with an individual`s work performance or creating an
intimidating, hostile or offensive working environment.
Insider Trading Policy
Conflict of Interest Policy
Whistle Blower Policy
Gender Neutral Policy-----
39. As per Personal Investment section of `The Code` `tipping` is Illegal.
True
40. At workplace you see misuse of ICICI group supplies/asset for personal use and mishandled by a
specific department
Inform the department head about the mishandling and see that action is taken.-----
Caution the person misusing the supplies to tighten up.
It`s not your department and cost of your department is under control and your department takes due
diligence in using bank assets.
41. You can provide assistance to any other person to launder proceeds of any criminal conduct as per
Anti Money Laundering
False
42. Non-maintenance of records that comes into your notice and any misappropriation or tampering of
records needs to be reported to a ____.
Relevant authority ….
Compliance Group
Audit Committee
43. Misappropriation of ICICI Group Assets leads to breach of duty by the employee and may
constitute an act of fraud against ICICI Group.
True
44. For privacy and confidentiality of ICICI Group`s information, an employee of ICICI Group must
not
Ans--- 1, 2 and 4.
45.Proprietary and confidential information about ICICI Group, a customer, supplier or distributor,
should not be disclosed to anyone
Ans-- a and b
46. As per our fair competition policy, we must not gather information about the competitors` products
and services.
False
47. Conflicts of interest can occur if
Ans- a and b
48. During your visit to a retail dealer, you are offered an expensive gift as a good gesture. How would
you respond?
Politely refuse and confirm that Bank has a policy and we do not accept gifts-+-------
Accept the gift and thank the dealer for the same and politely confirm that such formality is not
warranted for
Accept the same and surrender it to the Gift Office post your visit.
49. You must observe standards of good taste regarding content and language when creating
Ans- a and b
50. How do we at ICICI Group, ensure that we know our customers?3
Ans- a and c
51. Which of the following should an employee, officer or director of ICICI Group need not ensure?
The workplace is entertaining for self and others
52. You must ensure that ICICI Group`s ____________ include, full, fair, accurate, timely and
understandable disclosure.
Public Communications
53. Smoking in a non designated area illustrates a ______________.
Habitual Irregularity----------
54. conflict of interest- global can occur if
Ans – a and b
55. An employee must obtain approval from committee of directors
Ans- c and d
56. Undertaking outside activities, the following should not be for personal benefits
All of the above.
57. Our obligation to protect the ICICI Group's proprietary and confidential information
continues even after we leave the group
58. ICICI Bank does not encourage open communication of issues and concerns of all employees,
officers and directors.
False
59. Any concerns involving the head, CLG should be reported to the immediate supervisor.
False
60. Violations related to accounting, internal accounting controls or auditing matter should be
informed to the audit committee of the board of directors.
True
61. Any waivers (including any implicit waivers) of the provisions in the code for executive
officers or directors.
All the above
62. Amendments of the code must be approved by the ---------------- and will also be disclosed
in the company annual reports.
BOD
63. The contact information of the company's non-management directors is available in
Both
64. Proprietary and confidential information include
all the above
65. Acts of ignorance which leads to leakage of confidential and proprietary information does not
amount to a breach of “the code”
False
66. Unauthorized use of distribution of proprietary information may result in potential disciplinary
actions.
True
67. A manager is negotiating on a deal with a government agency...........
Ans- 2
68. One day mitali
Ans- 1
69. How do we at ICICI group, ensure that we know your customer
Ans- a and c
70. How do we at ICICI Group, prevent Money Laundering
Ans- b and c
71. It is not an offense, to undertake and/or facilitate transactions involving criminal activities.
False
72. ICICI Group does not do business with drug traffickers, money launderers and other criminals
True
73. ICICI Group does not and is not responsible to assist law enforcement agencies.
False
74. As per the ICICI Group code, you must never make inaccurate or misleading reports,
certificates, claims or statements to:
All
75. You must insure ICICI group's ----- include, full, fair, accurate timely and understandable
disclosure.
Public communications
76.You must observe standards of good taste regarding content and language when creating
Ans- a and b
77. You are a manager of ICICI Group, lately you noticed
Ans- 2
78. As per our fair competition policy, me must not gather information about the competitors'
produts and services
False
79. We uphold the principles that advancement is based on talent and performance, but there is no
commitment to equal opportunity
False
80. Personal relationships with contractors, suppliers and vendors has no bearing on the ICICI
Group and, hence, should not be disclose to superior.
False
81. The quality of our relationships with our suppliers and other externals counter-parties has a
direct bearing on our business.
Trus
82. icici group has a gender neutral policy that prohibits.
All
83. Employees, officers and directors of ICICI Group are prohibited from
Ans- a,b and d
84. Whose approval should you take before any form of interaction with the media?
Ans-- CBCG
85. What are the two main areas where employees are encouraged towards a responsible behaviour
Ans- a and b
86. Which of the following should an employee, officer or director of ICICI Group do not ensure
The workplace is entertaining for self and others
87. You must not take false (or misleading) statements to regulators/auditors/ICICI Group
Representative during investigation
True
88. While escalating a significant violation, you cannot choose to remnant anonymous.
False
89. ICICI Group code prohibits retaliatory action against an employee for making a good faith
report.
True
90. Shivani.
She must escalate
91. Superior and manager should
All
92. Identify, from the following, the one thing that a superior or a manager must not do
ans- d
93. Which of the following violation of the laws must be specially avoided.
all
94. It is ICICI Group Policy to
All
95. Particular care should be taken to act legally in those areas where
ans- b and c
96. The areas considered as high risk areas are assessed by the
senior management of the bank
97. Theft, pilferage or any dishonest act falls under.
Fraudulent
98. Any act which is against the ethos/culture of the company is
Gross
99. Termination of services or dismissal of services is a form of\\
capital action
100. As per the employee declaration
all
101. in accepting a position with ICICI group or any of its subsidiaries, you become accountable for
compliance with
all
102. A conflict of interest means-
to place the business interest
103. how many general principles are there for conflict of interest
Five
104. To follow the code of business conduct an ethics means
Avoiding the possibilities
105. using proprietary knowledge obtained through the course of employment to make investments that
are not in the best interest of the ICICI Group is an example of
personal investment
106. because of the conflicts of interest that arise out of personal investment you will not
both a and b
107. What aspects should be included in proprietary and confidential information
All
108. proprietary abd confidential information about ICICI Group, a customer, supplier or distributor
should not be disclosed to anyone
Ans- a and b
109. If an ICICI Employee found to be involved in bribery and corruption, the employee would
Be subject to disciplinary action
110. to conduct your personal trading as per bank's code of conduct for prevention
Ans- a and b
111. how do you, at ICICI Group, ensure that you know customer
Ans- a and c
112. What are the principles objectives of ICICI Group Anti Money Laundering Policy
All
113. As per ICICI Group code, who u should not make inaccurate or misleading reports, certificate,
claims or statements to
All
114. What is your responsibility in protecting the ICICI Group's assets
both a and b
115. What are the fair employment practices that ICICI Group committed to adopt
both a and b
116. What are the aspect that ICICI's Gender Neutral Policy prohibits
All
117. What are the steps that ICICI Group takes when an ethical issue is raised?
All
118. What are the special responsibilities of superiors and managers in ICICI Group?
All
119. what are the key irregularities the breaches can be broadly classified into
All
120. what are the steps involved in the disciplinary procedure
All
121. During the course of your normal work, you have observed an act of your colleague (in the same
department) that is not within the interest of the customer. You would, in such a situation
Escalate the activity to HR and/or legal/compliance or through Whistle Blower mechanism for
appropriate action to be against concerned employee
122. Use of official supplies and equipment for personal or political matters
Not Allowed
123. A person at a senior position is not complying or violating certain provision of the code which you
have noticed. You would
1
2......
3
