최신 Advanced-CAMS-Audit 무료덤프 - ACAMS Advanced CAMS-Audit Certification

A. Senior management agreed that the findings were legitimate.

B. Management took appropriate and timely action to address any violations and other deficiencies.

C. Management discussed an action plan to address any violations and other deficiencies.

D. The business attested to remediating the control gaps.

A. Additional remediation is identified and planned.

B. Compliance Identifies and schedules pre-exam validation as appropriate.

C. Findings ate explained and assigned to the accountable owners.

D. Findings ate clearly written and facts are accurate

E. Communication, follow-up. and documentation are tracked on scheduled sustainability validations.

A. Above-the-line

B. Below-the-line

C. Gap analysis

D. Black-box configuration

A. CAAT cannot be customized to scrutinize huge volumes of data and produce specific procedures thatcould replace the requirement for the auditor's own procedures.

B. Both CAAT and traditional methods of auditing allow auditors to build conclusions based upon a limited sample of a population.

C. Auditors using CAAT could have all customer addresses from the past 10 years while auditors using traditional methods of auditing could only have a sample of these customer addresses.

D. KYC data that have been incorporated into the warehouse could still be changed if need be from using CAAT.

A. Scenario 7

B. Scenario 4

C. Scenario 6

D. Scenario 1

E. Scenario 5

A. New York branch regulatory compliance committee headed by the chief incumbent of the branch

B. Main office risk management committee

C. Bank's designated board committee at the head office

D. Compliance oversight committee of the New York branch headed by the chief compliance officer

A. Advise the group board that the group should set aside the external review reports as the use of the third party independent reviewer was not authorized at group board level.

B. Rely upon the independent external review report as the base to formulate conclusions of the current onsite visit by internal audit.

C. Validate the accuracy of content of the independent external review report by recommending an audit and assess if the findings of both the independent review and audit are similar.

D. Review the independent external review report to determine the extent to which reliance can be placed on it and identify matters requiring further review by internal audit.

A. Re-screen all transactions over the period of time when the updated sanction lists were not uploaded against the current sanctions lists.

B. Perform a security risk and access assessment on the sanction screening tool to ensure more timely sanctions lists are uploaded.

C. Re-screen all transactions based on the sanctions lists that were active at that time but not uploaded.

D. Periodically monitor the sanctions lists uploaded by the screening tool to ensure the most up-to-date lists are in the system.

A. M3.2

B. M2.1

C. M1.2

D. M1.1

E. M5.2

F. M4.2