CAMS Zertifizierungsfragen - CAMS Zertifizierungsprüfung

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ACAMS CAMS Exam Syllabus Topics:

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

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CAMS Zertifizierungsprüfung, CAMS Probesfragen

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ACAMS Certified Anti-Money Laundering Specialists (the 6th edition) CAMS Prüfungsfragen mit Lösungen (Q526-Q531):

526. Frage
Which two factors assist a money laundering investigation that involves multiple countries? (Choose two.)

Antwort: A,C

Begründung:
A money laundering investigation that involves multiple countries can be challenging due to different legal systems, languages, cultures, and levels of cooperation. Two factors that can assist such an investigation are:
* Law enforcement and other authorities should have access to financial information that is pertinent to the investigation. This can help them trace the flow of illicit funds, identify the perpetrators and beneficiaries, and gather evidence for prosecution. Financial information can be obtained from various sources, such as financial institutions, financial intelligence units, regulators, and international organizations.
* Law enforcement and other authorities should be allowed to establish and utilize joint investigative teams with law enforcement in other countries. This can enhance coordination, communication, and information sharing among the authorities involved, and allow them to pool resources, expertise, and evidence. Joint investigative teams can also facilitate mutual legal assistance and extradition requests.
Financial Action Task Force (FATF), International Standards on Combating Money Laundering and the Financing of Terrorism & Proliferation, The FATF Recommendations, February 2012, updated June 2019, Recommendation 40, pp. 120-123 FATF, Best Practices on Establishing and Operating a Joint Investigative Team, June 2020, pp. 5-6 FATF, Money Laundering and Terrorist Financing Investigations, June 2018, pp. 11-12


527. Frage
Which method most likely indicates the placement stage of laundering dirty money in a land based casino?

Antwort: B


528. Frage
A director of a financial institution was convicted of laundering money as part of a Ponzi scheme and terminated. As a result of an internal investigation evidence proved that an employee assisted in the illegal activity.
Which action should the institution take?

Antwort: B


529. Frage
Which should a financial institution implement in order to identify and investigate money laundering activity from their clients? (Select Two.)

Antwort: A,B

Begründung:
According to the ACAMS CAMS Study Guide, 6th Edition, Chapter 3, Section 3.2, the financial institution should implement the following measures in order to identify and investigate money laundering activity from their clients:
Adverse news screening: This is a process of checking the clients' names and related parties against various sources of negative or adverse information, such as media reports, sanctions lists, watch lists, law enforcement databases, etc. Adverse news screening can help the financial institution to detect any potential red flags or indicators of money laundering or other criminal activities involving their clients, and to take appropriate actions, such as conducting enhanced due diligence, filing suspicious activity reports, or terminating the relationship.
Transaction monitoring: This is a process of reviewing and analyzing the clients' transactions and activities, such as deposits, withdrawals, transfers, payments, etc., to identify any unusual or suspicious patterns or behaviors that deviate from their normal or expected profile. Transaction monitoring can help the financial institution to detect any possible signs of money laundering or other financial crimes, such as structuring, layering, integration, fraud, tax evasion, etc., and to investigate and report them accordingly.
The other options are not measures that the financial institution should implement in order to identify and investigate money laundering activity from their clients, although they may be part of the overall AML program or compliance culture:
Integrity policy: This is a document that outlines the ethical principles and values that guide the conduct and behavior of the financial institution and its employees. An integrity policy can help the financial institution to promote a culture of honesty, transparency, and accountability, and to prevent or deter any misconduct or corruption. However, an integrity policy alone is not sufficient or specific enough to identify and investigate money laundering activity from their clients.
Whistleblower hotline: This is a mechanism that allows the employees or other stakeholders of the financial institution to report any suspected or observed violations of the AML policies, procedures, or regulations, or any other wrongdoing or malpractice, without fear of retaliation or reprisal. A whistleblower hotline can help the financial institution to encourage and facilitate the reporting of any potential or actual money laundering activity from their clients or within the organization, and to protect the rights and interests of the whistleblowers. However, a whistleblower hotline is not a measure that the financial institution implements to identify and investigate money laundering activity from their clients, but rather a tool that supports the AML program and compliance function.
Code of conduct: This is a document that defines the standards and expectations of the financial institution and its employees regarding their professional and ethical behavior, responsibilities, and obligations. A code of conduct can help the financial institution to establish and maintain a culture of compliance and integrity, and to prevent or address any conflicts of interest, misconduct, or abuse of power. However, a code of conduct is not a measure that the financial institution implements to identify and investigate money laundering activity from their clients, but rather a framework that governs the AML program and compliance function.
References:
ACAMS CAMS Study Guide, 6th Edition, Chapter 3, Section 3.2
ACAMS CAMS Certification Video Training Course - Exam-Labs
Exam CAMS: Certified Anti-Money Laundering Specialist (the 6th edition)


530. Frage
An anti-money laundering specialist has just developed and implemented an anti-money laundering program.
Which of the following is the best resource to evaluate the effectiveness of the program?

Antwort: A

Begründung:
According to the Anti-Money Laundering Specialist (the 6th edition) study guide, an effective anti-money laundering program should be subject to periodic independent testing by a qualified party, such as an internal or external auditor, a consultant, or a compliance professional1. This ensures that the program is compliant with the applicable laws and regulations, and that it meets the standards of sound risk management and internal controls2. The regulatory authorities, a member of senior management, or the anti-money laundering specialist may not have the necessary expertise, objectivity, or independence to conduct a thorough and unbiased evaluation of the program.
References:
1: CAMS Study Guide, 6th Edition, Chapter 2, Section 2.3, page 51
2: CAMS Study Guide, 6th Edition, Chapter 2, Section 2.4, page 52


531. Frage
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