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| Section | Weight | Objectives |
|---|---|---|
| Detecting and Preventing Financial Crime | 20% | - Investigations and enforcement
|
| Money Laundering and Terrorist Financing Concepts | 30% | - Global AML/CFT standards
|
| AML Compliance Framework | 25% | - Roles and responsibilities
|
| Risk Management and Due Diligence | 25% | - Transaction monitoring and reporting
|
大手国際金融機関(FI)は、米国と欧州連合(EU)の両方で事業を展開しています。米国とフランスの二重国籍を持つ富裕層の顧客が関与するクロスボーダー取引において、高リスクの管轄区域に第三者仲介業者が存在することが懸念されています。
この取引は、米国銀行秘密法 (BSA) および OFAC の要件、さらに EU の第 6 次マネーロンダリング防止指令 (6AMLD) および欧州銀行監督機構 (EBA) の規制に該当するため、コンプライアンス チームがコンプライアンスを確保するための最善のアプローチは何でしょうか。
Correct Answer: D 🗳️
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「ハワラ」の使用に関連する金融犯罪リスクは、次から生じる可能性があります。(2 つ選択してください。)
Correct Answer: C,E 🗳️
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暗号通貨および交換可能な仮想通貨に関連する一般的なリスクは次のとおりです。(3 つ選択してください。)
Correct Answer: B,C,E 🗳️
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AML 調査の観点において、データ プライバシーに関する最も正確な記述はどれですか。
Correct Answer: D 🗳️
信託会社サービスプロバイダー (TCSP) のどのような特性が、金融犯罪に対して潜在的に脆弱になる可能性がありますか? (3 つ選択してください。)
Correct Answer: A,D,E 🗳️
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