NO.28 During the regular periodic review of a high-risk client, a KYC analyst performs EDD checks and detects the presence of a politically exposed person. The KYC analyst should escalate this issue to the:

NO.29 In regards to ongoing CDD, financial institutions should ensure:

NO.30 Data must be secure so that it cannot be hacked, stolen, or misused for other purposes?

第 31 号 What is the First Line of Defense? (FLOD)

第 32 号 什么是超国家组织？(选择 3 个)

NO.33 A shell company or corporation is a company that, at the time of incorporation, has no significant? (SELECT 2)

NO.34 If the legal structure is overly complex.
What step should the analyst do when conducting Customer Due Diligence in identifying the beneficial owners?

第 35 号 The overall customer risk rating is usually derived as a composite of the following four categories of risk in money laundering prevention.
What are the those four?

第 36 号 Who will review KYC files to determine whether you are complying with your jurisdiction’s laws and regulations

NO.37 What of the following countries are considered Tax Havens? (SELECT 2)

第 38 号 What are the two types of Politically Exposed Persons (PEPS) that are identified by The Financial Action Task Force? (SELECT 2)

第 39 号 A KYC analyst is running an adverse media search on a prospective client’s directors and learns that one of the directors has been accused of receiving bribery payments. Which step should the KYC analyst take next?

NO.40 Which customer type represents the highest risk of money laundering to a financial institution?

第 41 号 A compliance officer is tasked with building a financial institution’s annual risk assessment. Which data attributes should be used to understand inherent risk?

第 42 号 Which action should be considered a possible red flag, indicating to a bank that the activity might warrant further investigation?

第 43 号 The Source of Funds and the Source of Wealth must be? (SELECT 2)

NO.44 If an organization suspects that a customer is laundering money, or committing other types of financial crime, it has a duty to report it to the authorities? (TRUE OR FALSE)

第 45 号 For benefitial ownership, the exact account-opening procedures and customer acceptance policies will depend on the type of? (SELECT 3)

第 46 号 As part of the source of wealth investigation of a high-net-worth individual, the compliance department at a private bank is tasked with obtaining documentary evidence pertaining to a family trust, through which the client’s assets are controlled. KYC identification efforts should primarily include the:

NO.47 What is legal risk? (SELECT 2)

第 48 号 What is legal risk? (SELECT 2)

NO.49 Secondary identification is often used to cross-verify the primary form of identification and to cross-verify information provided by the customer.
What is an example of secondary identification? (SELECT 2)

NO.50 为什么私人银行业务风险较高？(选择 2）

第 51 号 According to the Financial Action Task Force (FATF) Risk-Based Approach Guidance, institutions should

第 52 号 The KYC four step research is?