최신ACAMS Certified Global Sanctions Specialist - CGSS무료샘플문제

A. A team that conducts investigations

B. A team that manages the institution's screening lists

C. A team that manages risk assessments

D. A team that is from internal audit

A. It cannot transact through a US Bank, as it is owned by an SDN.

B. It is not subject to OFAC sanctions

C. It can transact freely in USD through a bank account held with a non-US Bank.

D. It cannot be sanctioned by OFAC because it is set up in a tax haven country.

A. Tipping-off is prohibited, and safeguards should be in place to prevent it, whereas notification is encouraged by regulators.

B. Tipping-off deprives a customer of legal defense while notification does not.

C. Tipping-off is only relevant to financial institutions, whereas all entities with sanctions obligations must abide by notification requirements.

D. Tipping-off assists law enforcement in its prosecution of entities, whereas notification assists subjects in their defense of prosecution.

A. Collecting of vouchers

B. Conducting payment screening according to formalized procedures

C. Implementing letters of credit containing prohibited boycott terms or conditions

D. Outsourcing to freight forwarders who have excellent expertise and guidance

A. within a non-EU country which is part of the Customs Union agreement with the EU.

B. to a company outside the territory of the EU, which is incorporated or constituted under the law of an EU Member State.

C. within a non-EU country, which has a double taxation convention with all EU Member States.

D. on a vessel under the jurisdiction of an EU Member State.

E. to a company incorporated under the law of a non-EU country, that is 45% owned by a national of an EU Member State.

A. The FI should gather the required information on a best-efforts basis.

B. The FI's management information reports should be available to everyone.

C. The FI should ensure comprehensive training for people involved in the alert clearing process.

D. The FI must have a robust screening control program with a clear strategy in place.

E. The FI should not consider a broader set of controls for reviewing at a later stage.

A. country specific sanctions not listed in the Annex.

B. sanctions legislation.

C. dual-use goods licensing requirements.

D. US secondary sanctions.

A. The business activity of the respondent bank's customers

B. The licensing authorities of the respondent bank and its branches

C. The respondent bank's products and services

D. The location of the respondent bank's operations

E. The representatives of the respondent's bank

F. The registration number of the respondent's bank

A. There are enough similarities to pursue further investigation before a decision can be made.

B. The potential client should not be onboarded and the regulator must be notified.

C. This is a near match, thus the client should only be onboarded depending on the financial institution's risk appetite.

D. There is insufficient reason to escalate the case for further investigation and the client can be onboarded.