CAMS 무료 덤프문제 온라인 액세스

In many jurisdictions, financial institutions are prohibited from hiring a person who has been convicted of what type of offense?

• A.Protests of government action
• B.Offenses involving dishonesty
• C.Driving while under the influence
• D.Kidnapping

Which reputations risk consequence could a financial entity face for violating AML laws?

• A.Monetary penalties
• B.Increased audit costs to monitor behavior
• C.Seizure of assets
• D.Loss of high-profile customers

According to the Financial Action Task Force, financial institutions should be required to implement:

• A.group-wide programs, including policies and procedures regarding AML compliance.
• B.special procedures for encryption of information to be exchanged with affiliates and branches.
• C.a process to designate an officer at a senior level who ensures a safe exchange of information for AML and terrorism financing purposes.
• D.independent AML programs to ensure privacy and safeguard confidential information.

Whichsituation involving a vendorpresentsincreased AML and/or sanctions riskto an organization?

• A.The vendor provides services toend users located in an area subject to economic sanctions.
• B.The vendor's sales representative was a refugee from asanctioned jurisdictionas a child.
• C.The vendor hasno individuals that own or control more than 10% of the company.
• D.The vendor isorganized as a privately held company.

Which key aspect of the Office of Foreign Assets Control's extraterritorial reach specifically relates to prohibited transactions?

• A.Prohibit or reject unlicensed foreign trade and financial transactions with specified countries, entities, and individuals.
• B.individuals
• C.Prohibit or reject licensed trade and financial transactions with specified countries, entities and non-U.
• D.Prohibit or reject licensed trade and financial transactions with specified countries, entities and U.S.
  individuals
• E.Prohibit or reject unlicensed trade and financial transactions with specified countries, entities, and individuals