CGSS 무료 덤프문제 온라인 액세스

Based on the Wolfsberg Guidance on Sanctions Screening, what are the core principles for generating productive alerts? (Select Two.)

• A.Manual processes that ensure lists are screened only against specific jurisdictional data
• B.Including exclusions for parties that pose low risks to be omitted from screening
• C.Addressing the inclusion of a "good guy" list so that it does not suppress common false positives
• D.Reviewing and removing reference data from screening, on an ongoing basis, once the data is no longer risk relevant
• E.Reducing the threshold settings from the optimal level to create more productive alerts

A financial institution's decision to adjust the degree of sensitivity of a screening tool should be based on its transaction volume and:

• A.number of staff.
• B.personnel training.
• C.management commitment.
• D.risk assessment.

A bank is offering a credit line for a trade transaction to a commercial client that is based in a country that shares its border with a sanctioned country. To which should a financial institution apply enhanced due diligence? (Select Two.)

• A.The commercial terms of the credit to ensure the terms are not prohibited under Sectoral Sanctions' extension of debit or credit arrangements.
• B.Public domain searches of the client to confirm the client's industry.
• C.The pricing of the goods to see if they are reasonably in line with market value, determined through publicly available sources.
• D.The ultimate beneficial owners of the exporter and importer.
• E.The shipment details because there are countries subject to international sanctions in the client's region.

The US Treasury adopts a mechanism of secondary sanctions to enforce compliance with its regulations. Which statement best describes the concept of secondary sanctions?

• A.Sanctions which apply to more than one country
• B.Sanctions which are transferred to a bank through its correspondent banking relationship
• C.When an entity has been sanctioned for the second time
• D.Sanctions which impose restrictions on persons not directly subject to US jurisdiction

A financial institution requests documents from a client who is involved in a trading business. Upon receiving the documents, which might be a potential indicator of sanctions evasion? (Select Three.)

• A.A customer's account statement from another bank shows several cash withdrawals
• B.Payment instructions of the customer are made online
• C.Conflicting documentation related to the final user of goods traded
• D.Shipping instructions that include docking at countries located far from sanctioned territories
• E.Falsified documents related to shipping routes taken
• F.Numerous amendments to a trade agreement that obscure the entities involved