CKYCA 무료 덤프문제 온라인 액세스

The five components of the internal control framework are the overall control environment are risk assessment, control activities, communication, regulations, quality assurance?

• A.Yes.
• B.No.

If the legal structure is overly complex.
What step should the analyst do when conducting Customer Due Diligence in identifying the beneficial owners?

• A.Tread carefully, particularly if they operate in jurisdictions with secrecy la
• B.Escalate, A complex legal structure is a sign of hiding the beneficial owner.
• C.Continue, Most legal structures can be overly complex in a normal business setting.

Shell and Shelf Companies are usually what level of customer risk?

• A.Low.
• B.Immediately Rejected due to their business profile.
• C.Medium.
• D.High.

A KYC analyst notices frequent use of letters of credit as a method of trade finance. It further appears that trades covered by letters of credit are not consistent with the customer's usual business. What should be the next action taken by the KYC analyst?

• A.Establish internally the existence of a criminal violation.
• B.Notify the Board of Directors and obtain the Board's approval for filing a STR.
• C.Prepare to close the customer's account.
• D.Refer internally for a potential suspicious transaction report

What corporate vehicles can a money launderer hide behind, where it is difficult to identify the beneficial owner? (SELECT 4)

• A.Private investment companies.
• B.Regulated investment advisors
• C.Sole Proprietors.
• D.Trusts.
• E.Shell companies.