CGSS 무료 덤프문제 온라인 액세스

EU Restrictive Measures apply: (Select Two.)

• A.within a non-EU country which is part of the Customs Union agreement with the EU.
• B.to a company incorporated under the law of a non-EU country, that is 45% owned by a national of an EU Member State.
• C.to a company outside the territory of the EU, which is incorporated or constituted under the law of an EU Member State.
• D.within a non-EU country, which has a double taxation convention with all EU Member States.
• E.on a vessel under the jurisdiction of an EU Member State.

In sanctions evasion, "stripping" refers to:

• A.the underrepresentation of a price of a product in order to transfer value from one jurisdiction to another.
• B.splitting cash deposits into smaller amounts to avoid a currency reporting threshold.
• C.sending two different types of messages for the same payment but with completely different information.
• D.deliberately changing or removing material information from payment messages or documents.

Which action is an acceptable strategy for a financial institution's payment sanctions screening process?

• A.The institution excludes incoming SWIFT transfers from sanction screening, instead relying on the controls of the sending/correspondent bank.
• B.The institution incorporates updates to sanction listings into its automated screening tool on a monthly basis.
• C.The institution uses software that does not account for alternative spellings of prohibited countries or parties.
• D.The institution uses internally managed whitelists and calibrates the threshold to reduce false positives.

A compliance officer at a US company discovers one of its European subsidiaries was altering the end-user's location information for certain dual-use goods ultimately being sent to Iran. Which should be the next step?

• A.Cease shipments of goods from the US to sanctioned jurisdiction and implement a more robust sanctions compliance program.
• B.Advise the subsidiary to conduct this activity through another non-US financial institution to avoid sanctions violations in the future.
• C.Inform management that there would be no issue since the foreign affiliated subsidiary attested that sanctions due diligence was performed.
• D.Identify the purchase of dual-use goods as permissible since it involved a non-US subsidiary and shipped to non-US person.

The screening process identifies that a wire payment is received from a shipping company registered in a high-risk jurisdiction, and the funds are temporarily held. An invoice forwarded via the intermediary bank indicates that the payment was made on behalf of an apparent shell company. Which action would be most appropriate from a sanctions risk standpoint?

• A.Report the payment to the appropriate governmental authority due to sanctions concerns.
• B.Freeze/block the payment.
• C.Request further information regarding the payment, shell company, and beneficiary before proceeding.
• D.Proceed with the payment if the originator, shell company, and beneficiary are not present on a sanctions list.