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Question 1 of 10
1. Question
The client, for no clear reason or in conjunction with other “red flags,” locks in in exchanges including which type of securities,
Correct
The client, for no clear reason or in conjunction with other “red flags,” locks in in exchanges including certain type of securities Penny stocks, regulation “S” (Reg S) stocks and Bearer bonds,
Incorrect
The client, for no clear reason or in conjunction with other “red flags,” locks in in exchanges including certain type of securities Penny stocks, regulation “S” (Reg S) stocks and Bearer bonds,
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Question 2 of 10
2. Question
Which of the following are red flags for human-carrying:
Correct
Red flags for human smuggling: Multiple wire exchanges, by and large, kept underneath the $3,000 detailing limit, sent from different areas over the Joined together States to a common recipient found in the US Multiple wire exchanges conducted at distinctive branches of a budgetary institution to or from the US
Incorrect
Red flags for human smuggling: Multiple wire exchanges, by and large, kept underneath the $3,000 detailing limit, sent from different areas over the Joined together States to a common recipient found in the US Multiple wire exchanges conducted at distinctive branches of a budgetary institution to or from the US
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Question 3 of 10
3. Question
Which movement may be identified by those money related institutions that have to get to paystubs and another payroll record?
Correct
The activity may be identified by those monetary educate that have got to paystubs and another payroll record Cashing of finance checks deposited back into the employer’s account.
Incorrect
The activity may be identified by those monetary educate that have got to paystubs and another payroll record Cashing of finance checks deposited back into the employer’s account.
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Question 4 of 10
4. Question
Which two organizations submitted the cases of the Egmont Group reviewed 22 terrorist financings?
Correct
Organizations that submitted the cases of the Egmont Group reviewed 22 terrorist financings are Financial intelligence units(FIUs and Compiled financial and behavioural indicators
Incorrect
Organizations that submitted the cases of the Egmont Group reviewed 22 terrorist financings are Financial intelligence units(FIUs and Compiled financial and behavioural indicators
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Question 5 of 10
5. Question
Which of the following show the two independent obligations of Financial institutions that initiate investigations upon receipt of a governmental subpoena or search warrant?
Correct
the two independent obligations of Financial institutions that initiate investigations upon receipt of a governmental subpoena or search warrant are Legally fulfill the requirements of the subpoena or warrant, and Determine whether the activity of its customer identified in the subpoena
Incorrect
the two independent obligations of Financial institutions that initiate investigations upon receipt of a governmental subpoena or search warrant are Legally fulfill the requirements of the subpoena or warrant, and Determine whether the activity of its customer identified in the subpoena
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Question 6 of 10
6. Question
In case an institution is served with a subpoena compelling the production of certain reports or an individual related to its client, what step should the institutions take?
Correct
In case an institution is served with a subpoena compelling the generation of certain records or an individual related to its client, the institution ought to have its senior administration and/or counsel review the subpoena
Incorrect
In case an institution is served with a subpoena compelling the generation of certain records or an individual related to its client, the institution ought to have its senior administration and/or counsel review the subpoena
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Question 7 of 10
7. Question
In the event that the government inquires the institution to keep certain accounts open, how a request should be obtained?
Correct
In the event that the government inquires the institution to keep certain accounts open a request should be obtained In writing under proper letterhead and Authority from the government.
Incorrect
In the event that the government inquires the institution to keep certain accounts open a request should be obtained In writing under proper letterhead and Authority from the government.
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Question 8 of 10
8. Question
On the off chance that the law authorization office or a prosecutor obtains a court to order to freeze an account or to prevent funds from being withdrawn or moved. how the institution should be obtained in this kind of case?
Correct
On the off chance that the law authorization office or a prosecutor gets a court to arrange to solidify an account or to prevent stores from being pulled back or moved the institution ought to get a duplicate of the arrange and should make each exertion to comply
Incorrect
On the off chance that the law authorization office or a prosecutor gets a court to arrange to solidify an account or to prevent stores from being pulled back or moved the institution ought to get a duplicate of the arrange and should make each exertion to comply
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Question 9 of 10
9. Question
Why all the information of the financial institutions are privy and what is the importance?
Correct
With all the data budgetary educate are privy to, it is vital for them to create and maintain arrangements and strategies with respect to money related examinations
Incorrect
With all the data budgetary educate are privy to, it is vital for them to create and maintain arrangements and strategies with respect to money related examinations
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Question 10 of 10
10. Question
Why investigation results from a transaction monitoring alert and in which purpose is it used.
Correct
In investigation results from an exchange monitoring caution that identified large, round-dollar wire transfers from import-export companies with generic names
Incorrect
In investigation results from an exchange monitoring caution that identified large, round-dollar wire transfers from import-export companies with generic names