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| Section | Objectives |
|---|---|
| Regulation and Ethics | - Ethical standards in investment advice - Conduct of business and compliance principles - Regulatory environment in financial services |
| Investment Products and Suitability | - Suitability and client profiling - Equities, bonds, and collective investments - Taxation and charges overview |
| Wealth Management Principles | - Portfolio construction basics - Client investment needs and objectives - Risk and return concepts |
| Investment and Financial Markets | - Market participants and their roles - Asset classes and investment products - Structure of financial markets |
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NEW QUESTION # 234
Enhanced due diligence is required in relation to customer identity if there is a possibility that the customer might be:
Answer: A
Explanation:
Enhanced due diligence is required where the customer presents a higher risk of money laundering or terrorist financing. Politically exposed persons are treated as higher risk because their prominent public roles can increase exposure to bribery, corruption, and misuse of funds. The enhanced measures typically include stronger verification, establishing source of wealth and source of funds, senior management approval for the relationship, and ongoing heightened monitoring. This approach is risk-based: it does not assume wrongdoing, but it recognises increased vulnerability to financial crime due to influence and access to public resources or decision-making. The other categories listed are not automatic triggers for enhanced due diligence in the same way. A non-executive director or a chairperson of a listed company may be senior and visible, but they are not necessarily politically exposed. A member of the armed forces is not automatically higher risk for enhanced checks. The exam point is that politically exposed status is a specific classification used in anti-money laundering controls and is a clear trigger for enhanced identity due diligence and deeper understanding of wealth and funds origins.
NEW QUESTION # 235
Setting standards for national anti-money laundering (AML) and counter-terrorist financing (CTF) programs and evaluating how effectively member countries have implemented the standards is the role of which of the following?
Answer: C
Explanation:
The Financial Action Task Force (FATF) is an intergovernmental organization that sets global AML
/CTF standards and assesses compliance.
* Why is Option C Correct?
* FATF develops recommendations that countries must implement to combat money laundering and terrorist financing.
* It conducts peer reviews and blacklists non-compliant nations.
* Why Not Other Options?
* A (IMF) # The IMF monitors economic stability, not AML enforcement.
* B (Interpol) # Handles criminal investigations, not financial regulations.
* D (National Crime Agency) # The NCA is UK-specific, while FATF is global.
# Reference: FATF Guidelines, CISI Wealth & Investment Management.
NEW QUESTION # 236
Which financial instrument is the corporate equivalent of a Treasury Bill?
Answer: D
Explanation:
Commercial Paper (CP) is the corporate equivalent of a Treasury Bill and is used for short-term funding by companies.
* Key Features:
* Issued by corporations with high credit ratings.
* Unsecured, short-term debt instrument (maturity up to 270 days).
* Used to finance working capital or short-term obligations.
* Comparison to Treasury Bills:
* Treasury Bills (T-Bills) # Issued by governments (risk-free).
* Commercial Paper # Issued by corporations (higher risk).
# Reference: Bank of England (Commercial Paper Market), CISI Wealth & Investment Management.
NEW QUESTION # 237
Which type of corporate action can only occur if a resolution is passed to forgo pre-emption rights?
Answer: A
Explanation:
A placing is a method of issuing new shares to specific investors rather than offering them to existing shareholders. For a placing to proceed, existing shareholders' pre-emption rights (the right to buy new shares before others) must be waived, which requires a resolution to be passed.
NEW QUESTION # 238
A business may need key person protection because:
Answer: A
NEW QUESTION # 239
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