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First up, what should we call you?
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1%
Which three entities does the Third European Union Money Laundering Directive apply to?
(Question Type: Multiple Choice)
Casinos
Financial Institutions
Defense Attorneys
Real Estate Agents
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How should a financial institution deter money laundering through new accounts?
Choose 3 answers
(Question Type: Multiple Choice)
Determine the beneficial owner(s) of the account
Document the identity of the party opening the account
Query owner's names against FATF database
Seek to determine the source of deposited funds
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What is suspicious activity or red flag with regard to a customer's activity?
Choose 3 answers
(Question Type: Multiple Choice)
Engaging in wiretransactionswith an offshore account
Asking about the bank's fee schedule for a series of transactions
Exchanging small denomination bills for large ones
Paying the tellers he deals with a regular gratuity
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An anti-money laundering officer for a financial institution has been conducting a monthly self assessment. The officer reviews the accounts increase in compliance with a long standing know your Customer policy.
The self-assessment for the latest month shows a significant increase in compliance deficiencies for the first time in more than a year. What is the nest course of action for the anti- money laundering officer to take?
(Question Type: Single Choice)
Revise the policy to simplify Know Your Customer compliance before the report is issued
Determine if there is a readily identifiable cause for the deficiencies
Implement a revision to the account-opening training program
Inform the Board of Directors promptly of the Know Your Customer policy trend over the last sixmonths.
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An anti-money laundering specialist at a financial institution has received a legal request to provide all transaction records for a specific individual since 2004.
Which three items should be delivered?
(Question Type: Multiple Choice)
Signature cards from accounts opened by that individual since 2004
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Add RecommendationAdd TagsView All Assigned TagsAll wire transfer for that individual since 2004
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Add RecommendationAdd TagsView All Assigned TagsAll security trading activities for that individual since 2004
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Add RecommendationAdd TagsView All Assigned TagsMonthly statements and transaction activities for that individual since 2004
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