8020 무료 덤프문제 온라인 액세스

What are some of the properties of Bottom-Up KRIs?

• A.Selected by local management: tied to internal loss events at the legal entity, country, business and / or product level, reported daily, weekly or monthly.
• B.Are not used due to changes in regulations.
• C.Selected by local management, based on key controls or weaknesses identified by audit reports, reported on quarterly.
• D.Seated by senior management: tied to internal loss events at the legal entity, country, business and / or product level, reported.
  daily, weekly or monthly.

Which of the following are the most relevant ways a firm can ensure they are in line with consumer protection?

• A.Treat customers fairly, place customer interests ahead of its own and keep promises to customers
• B.This risk cannot be managed.
• C.Engage with consumers once there are enough complaints.
• D.Add a consumer protection section to all reports.

Stafford Beers Viable System Model (VSM) has several implementation elements. Which of the following is not one of these?

• A.Output
• B.Governance
• C.Input
• D.Process

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

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

For the Barings case study, segregation of duties was an issue. How did this present itself in this case?

• A.A trader was responsible for managing the back-office.
• B.A trader was responsible for managing the front-office.
• C.A trader was responsible for managing the expense account.
• D.A risk manager was responsible for managing the back-office