Last Updated: Sep 30, 2026
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| Section | Weight | Objectives |
|---|---|---|
| Topic 1: AML Compliance Framework | 25% | - Roles and responsibilities
|
| Topic 2: Money Laundering and Terrorist Financing Concepts | 30% | - Global AML/CFT standards
|
| Topic 3: Risk Management and Due Diligence | 25% | - Transaction monitoring and reporting
|
| Topic 4: Detecting and Preventing Financial Crime | 20% | - Financial crime typologies
|
一般的に、強化されたデューデリジェンスを必要とする顧客はどれか?
Correct Answer: A 🗳️
Explanation: Only visible for SurePassExams members. You can sign-up / login (it's free).
合法的なマネーサービス事業 (MSB) の運営者が直面するマネーロンダリングの一般的なリスク指標を説明しているシナリオは次のどれですか。(3 つ選択してください。)
Correct Answer: B,C,D 🗳️
ある金融機関の米国支店は、法執行機関から顧客の口座取引に関する詳細な記録の提出を求める召喚状を受け取りました。この顧客はマネーロンダリングの捜査対象となっています。同時に、この金融機関は別の銀行から、同じ顧客に関連する取引の詳細を求めるFinCEN 314(b)に基づく情報共有要請を受けました。コンプライアンスチームは、召喚状とFinCEN 314(b)に基づく要請の両方に対応する任務を負っています。
すべての法的義務と規制義務が満たされていることを保証しながら、これらの要求に応じる際にコンプライアンス担当者は何を優先すべきでしょうか?
Correct Answer: A 🗳️
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大規模組織のマネーロンダリング対策および経済制裁コンプライアンス プログラムをサポートする上で重要な役割を果たすことができる補助部門または業務領域はどれですか? (3 つ選択してください。)
Correct Answer: B,C,D 🗳️
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顧客スクリーニング システムにおけるファジー ロジックの使用を最もよく説明しているのは次のうちどれですか。
Correct Answer: B 🗳️
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