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| Section | Weight | Objectives |
|---|---|---|
| Global Anti-Financial Crime Frameworks, Governance and Regulations | 24% | - Governance, accountability and ethics
|
| Building and Managing Anti-Financial Crime Compliance Programs | 28% | - Audit, testing and continuous improvement - Training, awareness and internal communication - Customer due diligence and know-your-customer
|
| Understanding Risks and Methods of Financial Crime | 26% | - Financial crime risks and consequences
|
| Tools, Technologies and Investigations | 22% | - Investigation processes and evidence handling
|
ある銀行は、ネットワーク分析ツールを使用して顧客と犯罪組織とのつながりを特定しています。
システムは潜在的な間接関係を特定しますが、優先順位を付けることができません。コンプライアンス担当者は、ツールの有効性を高めるために何をすべきでしょうか?
Correct Answer: D 🗳️
Explanation: Only visible for PracticeDump members. You can sign-up / login (it's free).
ML/TF トランザクション監視の観点で考慮すべき主要業績評価指標 (KPI) はどれですか? (3 つ選択してください。)
Correct Answer: A,B,E 🗳️
Explanation: Only visible for PracticeDump members. You can sign-up / login (it's free).
法律事務所は、資金源に関する書類がほとんどないクライアントのために、複雑なオフショア法人構造の設立に携わっています。事務所はクライアントの取引について質問したり、疑わしい行為を報告したりすることはありません。
法律事務所のこの行為に関連する主なマネーロンダリングのリスクは何ですか?
Correct Answer: D 🗳️
Explanation: Only visible for PracticeDump members. You can sign-up / login (it's free).
コンプライアンス担当者が、異常に高額な仮想通貨送金に関するアラートをレビューしています。最も重要な考慮事項は何ですか?
Correct Answer: B 🗳️
Explanation: Only visible for PracticeDump members. You can sign-up / login (it's free).
次の法律または規制のうち、AML/CFT プログラムの適用に影響を与え、金融機関に複数のコンプライアンス要件のバランスを取ることを要求するものはどれですか。
Correct Answer: C 🗳️
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