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

A. KYC requirements being considered a low priority not designed into business processes and implemented after product launch

B. Sanctions fists that are updated on a periodic basis following an annual risk assessment

C. KYC processes not being integrated into the business and associated application systems

D. Backlogs and delays in maintaining client files in accordance with the organization's policy

A. Select an audit firm based on recommendations from the AMI compliance officer.

B. Ensure that the scope of the audit and the experience of the auditors match the needs of the Fl.

C. Choose an audit firm based on price consideration and geographic location.

D. Investigate whether the audit firm has conducted prior audits with the Fl.

A. Scenario 7

B. Scenario 4

C. Scenario 6

D. Scenario 1

E. Scenario 5

A. Cryptocurrency threat assessment

B. Mandatory training requirements

C. Financial results reporting

D. Credit risk assessment

E. Suspicious activity reporting

F. Documentation record keeping

A. Finding 8

B. Finding 1

C. Finding 5

D. Finding 3

A. Designate the account as a PEP-account.

B. Review the customer risk profile every two years as with any other customers.

C. File a suspicious activity report as the previous riskrating was not correct.

D. Deploy automated monitoring toots to efficiently peruse the customer's KYC information and assure that the customer's KYC risk rating is correct.

E. Conduct enhanced due diligence and enhanced ongoing monitoring of the customer relationship.

F. Review and document the details of the customer s asset-holding arrangement.

A. The business updates the customer risk profiles periodically in accordance with the customer risk level.

B. Management engages an independent third party to update all the customer risk profiles.

C. Compliance regularly updates the lists of high- and medium-risk countries to ensure updated customer risk profiles.

D. Delete non-active customer profiles to reduce the workload of ongoing surveillance.

E. Audit designates an audit manager to review customer profiles annually.

A. Payable through accounts

B. International fund transfers

C. Foreign exchange services

D. Letters of credit

A. Provide training for first-line staff on how to review and disposition TM alerts.

B. Switch off those detection scenarios that are producing too many false positives.

C. Perform a coverage assessment of the current suite of TM detection scenarios against the bank's money laundering and terrorist financing risks

D. Apply the same thresholds across all client types to ensure alignment of risk coverage.