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| Section | Weight | Objectives |
|---|---|---|
| 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
|
| Global Anti-Financial Crime Frameworks, Governance and Regulations | 24% | - International standards and bodies
|
| Tools, Technologies and Investigations | 22% | - Technology and systems
|
| Understanding Risks and Methods of Financial Crime | 26% | - Money laundering stages and techniques
|
哪些領域的法規對反洗錢/反恐怖主義融資應用影響最大? (選擇三項。)
Correct Answer: B,C,D 🗳️
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一家金融機構的交易監控系統發現,一個小型企業帳戶的國際電匯金額異常高。這些轉帳被送到多個以監管力度有限而聞名的司法管轄區。此外,一名員工在上門拜訪時報告了帳戶持有人的可疑行為,帳戶持有人要求提取大額現金,但並未提供明確的商業理由。作為調查的一部分,合規團隊必須評估此活動是否可疑,並確定適當的後續措施。
在調查過程中,應先採取下列哪個步驟來正確收集資訊並評估交易是否可疑?
Correct Answer: B 🗳️
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為防範金融犯罪風險,已實施的政策、控制措施和程序必須:
Correct Answer: B 🗳️
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當金融機構收到有關客戶的大陪審團傳票時,應該採取什麼行動?
Correct Answer: B 🗳️
金融業嚴重依賴基於規則的交易監控方法來檢測可疑活動。
基於場景的系統使用技術和演算法來識別:(選擇三個。)
Correct Answer: B,C,D 🗳️
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