8020 무료 덤프문제 온라인 액세스

In relation to financial crime. OFAC is a definition for which organization?

• A.Office of Foreigner and other Control.
• B.Office of Financial Asset Control.
• C.Office for Asset Control.
• D.Office of Foreign Asset Control.

What are some of the deficiencies associated with bottom-up Key Risk Indicators?

• A.Causal affects that are not adequately understood.
• B.Mandates from a board that are too restrictive to implement.
• C.Not reported frequently enough.
• D.Lack of granularity.

In Operational Resilience, which of the following is not an important measure of whether a Business Service can be considered Critical?

• A.Whether a disruption to the provision of the service could threaten a firm's viability.
• B.Whether a disruption to the provision of the service could harm market integrity.
• C.Whether a disruption to the provision of the service could exceed risk appetite.
• D.Whether a disruption to the provision of the service could cause material customer detriment.

Compliance departments traditionally provide policy, oversight, and set the standards for monitoring personal dealing. Which control below would assist in implementing such policies?

• A.Outsourcing of the policy writing to an accounting firm at least once every 3 years.
• B.Watch lists of stocks that are not allowed to be traded for a period of time, for instance, ahead of a securities offering that the firm is managing.
• C.Outsourcing of the policy writing to an accounting firm at least once every 5 years.
• D.A list of approved suppliers that have been added to the outsourcing policy.

In order for a KRI to be effective it must be:

• A.Quantitative and Qualitative. Consistent. Efficient & Repeatable.
• B.Quantitative, Consistent and Comparable. Efficient & Repeatable
• C.Quantitative, Repeatable and Efficient.
• D.Qualitative, Consistent Efficient & Repeatable.