Advanced-CAMS-Audit 무료 덤프문제 온라인 액세스

What model test verifies that alerts indicative of potentially suspicious activity are not missed due to threshold settings?

• A.Above-the-line
• B.Black-box configuration
• C.Gap analysis
• D.Below-the-line

An auditor should present exceptions identified during testing to the auditee after.

• A.analysis of likelihood and impact.
• B.performance of additional testing.
• C.final audit report issuance
• D.preliminary observation of exceptions.

During the auditing process the auditor finds that the entity never updates the customers risk assessment.
Which remediation actions should the auditor suggest? (Select Two.)

• A.The business updates the customer risk profiles periodically in accordance with the customer risk level.
• B.Compliance regularly updates the lists of high- and medium-risk countries to ensure updated customer risk profiles.
• C.Audit designates an audit manager to review customer profiles annually.
• D.Management engages an independent third party to update all the customer risk profiles.
• E.Delete non-active customer profiles to reduce the workload of ongoing surveillance.

Which KYC-related finding poses the most risk to the organization?

• A.KYC requirements being considered a low priority not designed into business processes and implemented after product launch
• B.KYC processes not being integrated into the business and associated application systems
• C.Backlogs and delays in maintaining client files in accordance with the organization's policy
• D.Sanctions fists that are updated on a periodic basis following an annual risk assessment

Which can be excluded from an audit report?

• A.The risk or control framework or other criteria used as a basis for the overall opinion
• B.Overall opinions, judgments or conclusions reached in prior audit reports
• C.The overall opinion judgment, or conclusion reached
• D.The scope, including the time period to which the opinion pertains