Advanced-CAMS-Audit試験無料問題集「ACAMS Advanced CAMS-Audit Certification 認定」

The auditor identifies that the bank has launched trade finance services this year.When rating the various themes of the risk mitigants, which are expected to be impacted by the launchof these services? (Select Three.)

正解:A,C,F 解答を投票する
解説: (GoShiken メンバーにのみ表示されます)
When sample testing client transaction records, the auditor finds that a client offered to sell a piece of art on a commission basis. A sale was completed and the purchase price was remitted to the client with less commission. What further investigation should the auditor undertake?

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Considering recent changes in the bank's correspondent banking business. Which is the most important risk indicator for the internal auditor to review?

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A recent regulatory examination identified serious deficiencies in the AML program. Which action should the organization take first?

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During a sample review, the auditor notices that an alert was generated for a large deposit that was inconsistent with the customer profile. The customer has had no other incidents in the past 10 years and has provided documents to confirm the deposit as a property sale. What should the auditor do?

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Which are the most important documents for an auditor to verify that a financial institution has proper controls in place for mitigating its money laundering risk exposure? (Select Two.)

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While reviewing a sample of trade financing documents in a financial institution, an auditor notes that there were instances of potential overvaluation and undervaluation of goods. The auditor intends to check if these were detected and escalated. Which is a reason for such overvaluation and undervaluation?

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Which requirement of a financial institution's compliance program should an auditor review first to understand key roles and responsibilities?

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The auditor finds that thecustomer risk assessment (CRA) is completed at initial onboarding and is repealed for each customer every other year. The auditor's observations should Include that the CRA should:

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