CAMS日本語問題集: Certified Anti-Money Laundering Specialists (the 6th edition)大歓迎問題集CAMS関連合格問題

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ACAMS CAMS Exam Syllabus Topics:

SectionWeightObjectives
Topic 1: Conducting and Responding to Investigations21%- Investigation process and case management
  • 1. Evidence gathering and analysis
  • 2. Case documentation and reporting
- Information sharing and cooperation
  • 1. Domestic and international cooperation
  • 2. Working with FIUs and law enforcement
- Detection and red flags
  • 1. Industry-specific red flags
  • 2. Identifying suspicious activities and transactions
- Disciplinary and remedial actions
  • 1. Preventing recurrence
  • 2. Corrective measures and sanctions
Topic 2: Compliance Standards for AML/CFT25%- Risk-based approach fundamentals
  • 1. Application across jurisdictions
  • 2. Principles of risk assessment
- International organizations and bodies
  • 1. Egmont Group of Financial Intelligence Units
  • 2. Standard-setting bodies
  • 3. Financial Action Task Force
- Global regulatory frameworks
  • 1. FATF 40 Recommendations
  • 2. EU AML Directives
  • 3. USA PATRIOT Act and national regulations
  • 4. Basel Committee guidelines
  • 5. Wolfsberg Principles
Topic 3: Risks and Methods of Money Laundering and Terrorist Financing26%- Sanctions and related risks
  • 1. Consequences of non-compliance
  • 2. UN, EU, OFAC and other sanctions regimes
- Sector-specific vulnerabilities
  • 1. Precious metals and high-value goods
  • 2. Gaming and casinos
  • 3. Legal and professional service providers
  • 4. Insurance sector
  • 5. Securities and capital markets
  • 6. Money services businesses
  • 7. Banking and deposit-taking institutions
  • 8. Real estate
- Money laundering stages and mechanisms
  • 1. Terrorist financing methods
  • 2. Trade-based money laundering
  • 3. Placement, layering, integration
Topic 4: AML/CFT Compliance Programs28%- Training, audit and independent review
  • 1. Staff training programs
  • 2. Continuous improvement
  • 3. Internal and external audit functions
- Core elements of compliance programs
  • 1. Policies, procedures and controls
  • 2. Governance and oversight
  • 3. Risk assessment and management
- Reporting and record-keeping
  • 1. Suspicious activity reporting (SAR/STR)
  • 2. Record retention requirements
- Customer due diligence requirements
  • 1. Ongoing monitoring
  • 2. KYC/CDD and enhanced due diligence
  • 3. Beneficial ownership identification

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ACAMS Certified Anti-Money Laundering Specialists (the 6th edition) 認定 CAMS 試験問題 (Q373-Q378):

質問 # 373
Which statement is true about when an institute becomes aware that a particular employee is under investigation by law enforcement as a result of a subpoena or warrant?

正解：C

解説：
According to the CAMS Study Guide, page 173, "If an independent investigation provides grounds to interview the employee, the employee can be interviewed and, if necessary, terminated, but not advised that he or she is under investigation by law enforcement." This is because informing the employee of the law enforcement investigation could compromise the integrity of the case and potentially expose the institution to legal liability. Therefore, option B is the correct answer.
:
CAMS Study Guide, page 1731
CAMS Exam Questions and Free Practice Test, Question 2872


質問 # 374
Combating the Financing of Terrorism (CFT)]
Which of the followingare risk factors a financial institution should examine when onboarding a new corporate customer? (Select Three.)

正解：B、C、D

解説：
When onboarding a corporate customer, financial institutions mustconduct due diligence to assess potential AML risks.
* Option A (Correct):Understanding thenature of the businesshelps identifyhigher-risk industries(e.g., casinos, cryptocurrency exchanges, cash-intensive businesses).
* Option D (Correct):Identifyingsenior managing officials and account signatorieshelps verify the true control and ownership of the company.
* Option E (Correct):Jurisdictional risk assessmentis key, especially if the company is from aFATF- listed high-risk country.
Why Other Options Are Incorrect:
* Option B (Incorrect):Theemployment profiles of all employeesarenot relevantunless they have a direct role in financial transactions.
* Option C (Incorrect):A company'sbanking history is not always relevant, unless there arered flags of prior financial crime involvement.
Best Practices for Corporate Customer Onboarding:
* Verify beneficial ownership structuresto detect potential shell companies.
* Conduct enhanced due diligence (EDD) for high-risk industries and jurisdictions.
* Ensure ongoing monitoring of corporate customers.
Reference:
FATF Recommendation 10 (Customer Due Diligence)
6th EU AML Directive (6AMLD) on Corporate Due Diligence
Wolfsberg Group Guidance on Corporate Customer AML Risk Management


質問 # 375
The marketing department presents a business plan targeting individuals holding important public positions. What are some steps the financial institution should implement as part of the plan to target such individuals?

正解：A、B、C


質問 # 376
Which of the following controls is typically implemented at customer onboarding to mitigate the risk of onboarding high-risk customers?

正解：C

解説：
* A (Enhanced due diligence): EDD is a key control at onboarding for high-risk customers, involving deeper scrutiny, additional documentation, and approval layers to address increased ML/TF risk.
* "High-risk customers must be subject to enhanced due diligence during onboarding to ensure a thorough understanding of potential ML/TF risks."(CAMS 6th Edition, CDD/EDD for High-Risk Customers) References:
CAMS 6th Edition, CDD/EDD
FATF Recommendations 10, 12


質問 # 377
What correspondent banking risk factor increases the risk for a Correspondent Bank?

正解：A

解説：
Correspondent banking is a service that allows banks to access financial services in different jurisdictions through intermediary banks, known as correspondent banks. Correspondent banking can facilitate cross- border transactions, foreign exchange, and other financial activities for banks and their customers. However, correspondent banking also poses various risks, such as money laundering, terrorist financing, fraud, corruption, tax evasion, and sanctions evasion. Correspondent banks may have no direct relationship with the customers of the respondent banks, making it difficult to verify their identity and monitor their transactions.
Correspondent banks may also rely on the compliance programs of the respondent banks, which may not meet the standards of the correspondent banks' jurisdictions.
One of the risk factors that increases the risk for a correspondent bank is being a major service provider to money service businesses (MSBs). MSBs are entities that provide money transmission, currency exchange, check cashing, prepaid cards, and other similar services. MSBs are often considered high-risk customers, because they may serve as conduits for illicit funds, especially if they operate in jurisdictions with weak anti- money laundering regulations or oversight. MSBs may also have a large and diverse customer base, making it challenging to conduct customer due diligence and transaction monitoring. Therefore, correspondent banks that provide services to MSBs may face higher exposure to money laundering and other financial crimes, and may need to apply enhanced due diligence and risk mitigation measures.
References:
* Understanding Risk in Correspondent Banking
* GUIDANCE ON CORRESPONDENT BANKING SERVICES
* Correspondent Bank: Definition and How It Works
* Correspondent banking - why it's important to understand the risks
Reference: https://www.fatf-gafi.org/media/fatf/documents/reports/Guidance-Correspondent-Banking- Services.pdf


質問 # 378
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