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| Section | Weight | Objectives |
|---|
| Tools, Technologies and Investigations | 22% | - Remediation and response
- 1. Corrective actions and regulatory engagement
- Investigation processes and evidence handling
- 1. Cooperation with authorities and information sharing
- 2. Case management and escalation
- Technology and systems
- 1. Monitoring systems, screening tools, data analytics
- 2. Cryptoasset and virtual asset compliance
|
| Global Anti-Financial Crime Frameworks, Governance and Regulations | 24% | - Regional and national regulations
- 1. EU AML Directives
- 2. USA PATRIOT Act and extraterritorial laws
- Governance, accountability and ethics
- 1. Roles of board, senior management and compliance function
- 2. Ethical obligations and professional standards
- International standards and bodies
- 1. FATF 40 Recommendations
- 2. Basel Committee, Wolfsberg Group, UN conventions
|
| Building and Managing Anti-Financial Crime Compliance Programs | 28% | - Audit, testing and continuous improvement - Training, awareness and internal communication - Monitoring, reporting and record keeping
- 1. Suspicious activity reporting (SAR/STR)
- 2. Legal record retention requirements
- 3. Transaction monitoring and alert management
- Customer due diligence and know-your-customer
- 1. CDD, EDD, beneficial ownership identification
- 2. politically exposed persons and high-risk clients
- Program framework and policies
- 1. Policies, procedures and controls design
- 2. Risk assessment and risk-based approach
|
| Understanding Risks and Methods of Financial Crime | 26% | - Sanctions regimes and compliance risks
- 1. UN, EU, OFAC frameworks
- 2. Risk identification and mitigation
- Terrorism financing and proliferation financing
- 1. Distinctions from money laundering
- 2. Sources and mechanisms
- Money laundering stages and techniques
- 1. Placement, layering, integration
- 2. Methods across financial sectors and businesses
- Financial crime risks and consequences
- 1. Institutional, individual, economic and social impacts
|
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ACAMS Certified Anti-Money Laundering Specialist (CAMS7 the 7th edition) Sample Questions (Q271-Q276):
NEW QUESTION # 271
What is the primary purpose of anti-bribery and corruption regulations?
- A. To protect against election interference by corrupt foreign adversaries facilitated by illicit funds
- B. To protect against the use of illegal means by senior political figures to avoid paying taxes
- C. To prohibit the conversion of illegally obtained money into legal money by senior government figures
- D. To prohibit the payment of anything of value by persons or entities to government officials or employees of state-owned enterprises to obtain an improper business advantage
Answer: D
Explanation:
* A: The main objective of anti-bribery and corruption regulations is to prohibit bribes to government officials or employees of state-owned enterprises for the purpose of obtaining or retaining business or securing improper advantages.
* "Anti-bribery and corruption regulations, such as the FCPA and UK Bribery Act, prohibit offering anything of value to public officials to gain a business advantage."(CAMS 6th Edition, Anti-Bribery and Corruption) References:
CAMS 6th Edition, Anti-Bribery and Corruption Standards
FCPA, UK Bribery Act
NEW QUESTION # 272
Money laundering has social and economic impacts, especially within developing countries. A high volume of money laundering in a country may: (Select Two.)
- A. Dissuade foreign investment.
- B. Lower the employment rate.
- C. Dissuade government tax incentive programs
- D. Reduce volatility in exchange and interest rates.
- E. Reduce confidence in the country's financial sector.
Answer: E
NEW QUESTION # 273
Which of the following is a key consideration for a global organization when managing AFC and sanctions compliance across multiple jurisdictions?
- A. Applying global AFC and sanctions policies to ensure consistency without the need to adapt to local regulations
- B. Ensuring sanctions compliance by relying solely on international bodies like the UN because there is no requirement to adhere to local laws
- C. Ensuring group policies cater to compliance with each country's specific AML and sanctions regulations
- D. Ensuring group policies and procedures prioritize adherence to US regulations because they are the most influential worldwide
Answer: C
Explanation:
Global organizations must ensure their policies and procedures comply with local laws and regulations in each country where they operate, even when maintaining group-wide consistency. Relying solely on international or U.S. standards does not ensure compliance with all local requirements, which may be more stringent or specific.
"A global group-wide program should ensure adherence to local AML and sanctions laws and regulations in every jurisdiction in which it operates. Local adaptation of policies is essential to address jurisdiction-specific risks and legal requirements." (CAMS 6th Edition, International AML/CFT Standards; FATF Recommendations 18, 35; EU & US Sanctions Regulations) References:
CAMS 6th Edition, Compliance Across Jurisdictions
FATF Recommendation 18: Internal Controls and Foreign Branches
Basel Committee on Banking Supervision (BCBS) Guidance
NEW QUESTION # 274
The United Nations Security Council (UNSC) is empowered to impose sanctions regimes against countries and terrorist organizations.
Which statements are true regarding sanctions imposed by the UNSC? (Select Two.)
- A. Member countries of the United Nations are expected to implement and enforce sanctions imposed by the UNSC
- B. Direct breaches of sanctions imposed by the UNSC constitute a criminal offense in all member countries
- C. Attempts to circumvent or evade sanctions imposed by the UNSC can constitute a criminal offense if designated under local laws and regulations
- D. The UN can impose arms embargoes but cannot prohibit direct or indirect exports of other goods to specific countries
Answer: A,C
Explanation:
The United Nations Security Council (UNSC) is authorized under the UN Charter to imposebinding sanctions measureson member states. These sanctions may target countries, entities, or individuals and can include arms embargoes, travel bans, asset freezes, and restrictions on trade or financial services.
Statement Ais correct:
Circumventing or evading UNSC sanctionsmay constitute a criminal offenseif the jurisdiction has incorporated UN obligations into domestic law. While the UNSC does not directly impose criminal penalties, member states must implement these measures locally, andmany jurisdictions have lawsthat make such violations criminal acts.
Statement Bis incorrect:
The UNSC is empowered toimpose broad restrictions, includingtrade bans beyond arms, such as on luxury goods, fuel, or specific commodities. Therefore, the idea that it cannot prohibit exports beyond arms is inaccurate.
Statement Cis correct:
Member countries of the United Nations are expected to implement and enforce UNSC sanctions, in accordance with their obligations under the UN Charter (specifically Chapter VII). Countries are responsible for transposing these sanctions into their national legal frameworks.
Statement Dis incorrect:
Although member countries are required to enforce sanctions,not all countries automatically consider breaches a criminal offense. Whether a violation is criminal depends on how each country enacts UN sanctions domestically.
Reference: ACAMS CAMS Study Guide - 6th Edition, Chapter:International AML Standards- Section:
United Nations Initiatives and Global Sanctions Framework
NEW QUESTION # 275
Which of the following is a red flag indicating potential money laundering or terrorism financing through dealers of precious metals or high-value items?
- A. A customer pays an antique dealer with a credit card for a high-value antique item
- B. A customer specifically requests to purchase a Kimberly Process-certified cut diamond
- C. A customer wants a hand-written receipt for a cash purchase of a high-end, limited-edition luxury watch
- D. A customer wants to purchase gold bars with a combination of cash and cryptocurrency
Answer: C
NEW QUESTION # 276
......
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