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| Section | Weight | Objectives |
|---|---|---|
| Building and Managing Anti-Financial Crime Compliance Programs | 28% | - Monitoring, reporting and record keeping
- Audit, testing and continuous improvement - Customer due diligence and know-your-customer
|
| Understanding Risks and Methods of Financial Crime | 26% | - Sanctions regimes and compliance risks
|
| Tools, Technologies and Investigations | 22% | - Technology and systems
|
| Global Anti-Financial Crime Frameworks, Governance and Regulations | 24% | - International standards and bodies
|
下列哪些是與客戶可能進行可疑交易有關的危險訊號? (選三個。)
Correct Answer: B,D,E 🗳️
下列哪些是基於風險的方法的一部分? (選擇三項。)
Correct Answer: B,D,E 🗳️
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哪一種保險產品被認為洗錢風險最低?
Correct Answer: D 🗳️
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下列哪些是使用搜尋引擎篩選負面媒體報道的限制? (選擇三項。)
Correct Answer: A,B,E 🗳️
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一家公司正迅速擴張至多個國際市場,其中包括一些監管風險較高的司法管轄區。董事會已要求反洗錢報告官 (MLRO) 審查並調整公司的反金融犯罪 (AFC) 合規框架,使其與不斷變化的監管環境和擴張策略保持一致。在此過程中,反洗錢報告官將識別漏洞,尤其是在反洗錢監管有缺陷的市場,並更新框架以降低這些風險。
該流程描述的是AFC合規計畫的哪個要素?
Correct Answer: B 🗳️
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