최신ACAMS Advanced CAMS-Audit Certification - Advanced-CAMS-Audit무료샘플문제

A. Finding 7

B. Finding 4

C. Firming 2

D. Finding 5

A. Recent audit findings

B. AML corporate governance

C. Client base stability

D. Previous correspondent banking relationships

E. Clients of the institution for more than 10 years

A. A copy of the FI's AML risk assessment

B. Above-the-line and below-the-line testing

C. Comparison against past suspicious activity reported

D. Proof of validation from the TM software provider

E. Length of time the FI has deployed the software program

A. The compliance officer concluded from the report that there are reasonable grounds for suspicion and filed a suspicious activity report.

B. The compliance officer concluded the investigation approximately 3 months later and filed a suspicious activity report.

C. The compliance officer decided not to cease the Business relationship hut kept the account under rigorous monitoring process.

D. The compliance officer filed a suspicious activity report and omitted details regarding the reason it was filed.

A. The scope, including the time period to which the opinion pertains

B. Overall opinions, judgments or conclusions reached in prior audit reports

C. The risk or control framework or other criteria used as a basis for the overall opinion

D. The overall opinion judgment, or conclusion reached

A. Age (Years)

B. Type of customer (Trust. Company Individual)

C. Residence (Country)

D. Annual premium (S)

E. Risk factors (Y/N. if Y please specify)

F. Photo ID taken (Passport Driver's License. Other)

A. Staff attendance is incomplete because the board of directors is not part of the staff required to attend the periodic trainings, and there is no other specially designed AML training for the board.

B. Staff attendance is complete because all staff in the institution are required to attend the AML training as part of the staff onboarding process.

C. Staff attendance is complete because the training is mandatory for staff in the business, operations compliance and senior management whose duties involve knowledge of AML controls and processes.

D. Staff attendance is incomplete because the compliance officer or the delegates are not part of the staff facilitating the 3-hour periodic AML training.

A. Information that will be required

B. Type of reporting format

C. Budget available for the review

D. Users of the external report

E. Purpose of the review

F. Type of risk assessment needed

A. Management action plan for remediating audit findings

B. Internal controls including policies and procedures

C. Log of law enforcement requests

D. List of politically exposed persons

E. Money laundering risk assessment