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Question 36/292

The Egmont Group is a world wide organization of

A. banking regulators.

B. financial intelligence units.

C. law enforcement authorities.

D. central banks.

Question List (292q): Question 1: A suspicious transaction report has been filed on an account...; Question 2: A law enforcement agent calls a bank anti-money laundering i...; Question 3: Which three conduits for moving terrorist-related funds do t...; Question 4: Bank A is a non-United States (U.S.) bank that has $5 millio...; Question 5: An institution has made the decision to exit a client relati...; Question 6: How should a financial institution deter money laundering th...; Question 7: What core objective does the Egmont Group suggest would lead...; 1 commentQuestion 8: According to the Financial Action Task Force, which action m...; Question 9: Using the customer profile and expected activity information...; Question 10: A compliance officer at an insurance company has been review...; Question 11: A law enforcement agency is reviewing a suspicious transacti...; Question 12: Which assessments are involved in the processes of mutual ev...; Question 13: A bank teller receives a written request from a police offic...; Question 14: What can a compliance officer do in the absence of automated...; Question 15: The most important anti-money laundering issue associated wi...; Question 16: What should countries do to help prevent non-profit organiza...; Question 17: An anti-money laundering specialist has been asked to create...; Question 18: A high-volume dealer of precious metals and stones in a high...; Question 19: Which is true about Financial Action Task Force (FATF)-Style...; Question 20: What are the European Union Directives on Money Laundering?...; Question 21: A retail bank has just acquired a credit card business. The ...; Question 22: In which two ways does a government Financial Intelligence U...; Question 23: A compliance officer at a large financial institution has be...; Question 24: A client who owns a swimming pool company requests to open 1...; Question 25: An anti-money laundering specialist at a financial instituti...; Question 26: In performing a risk analysis, which factor(s) should a fina...; Question 27: The new compliance officer has reviewed the bank's anti-mone...; Question 28: An auction house dealing in fine art and antiques sells a we...; 1 commentQuestion 29: The Board of Directors for a small private bank has asked th...; Question 30: Pursuant to the Third European Union Money Laundering Direct...; Question 31: Which Trust parties should be identified to determine the tr...; Question 32: A retail bank prepares a yearly AML risk assessment. Which i...; Question 33: Which statement is true about when an institute becomes awar...; Question 34: A compliance officer at a small community bank has been aske...; Question 35: What is the primary action a financial institution should ta...; Question 36: The Egmont Group is a world wide organization of...; Question 37: Based on the AML principles outlined by the Wolfsberg Group,...; Question 38: Which action does the Financial Action Task Force (FATF) rec...; Question 39: When creating an anti-money laundering program for a foreign...; Question 40: A financial institution (FI) has decided to revamp its compl...; Question 41: An existing customer has changed its business scope and juri...; Question 42: Which are key objectives of the Egmont Group? (Select Two.)...; Question 43: Which safeguard is in place for Financial Intelligence Units...; Question 44: An anti-money laundering specialist is employed by a large m...; Question 45: Which is a purpose of imposing sanctions?...; Question 46: When a financial institution is requested to provide data an...; Question 47: A large financial institution (Fl) is considering expanding ...; Question 48: Which is the main objective when a financial institution (FI...; Question 49: The Wolfsberg Principles for Private Banking list circumstan...; Question 50: A customer has borrowed the cash surrender value of their li...; Question 51: According to the Financial Action Task Force Special Recomme...; Question 52: A compliance officer of a financial institution is reviewing...; Question 53: A customer has held an account at a bank and has lived local...; Question 54: A United States (U.S.) bank was recently alerted by law enfo...; Question 55: What should an employee do after witnessing suspicious activ...; Question 56: The Chief Compliance Officer (CCO) of a financial institutio...; Question 57: Separating illicit proceeds from their source by a series of...; Question 58: Which three measures are contained in Financial Action Task ...; Question 59: Money laundering can cause which consequences for a financia...; Question 60: Which regulatory bodies cooperate when dealing with cross-bo...; Question 61: In its paper. Customer Due Diligence for Banks, the Basel Co...; Question 62: What action does the USA PATRIOT Act allow the US government...; Question 63: A law enforcement agent is conducting an investigation into ...; Question 64: Which is a goal of Financial Action Task Force Regional-Styl...; Question 65: During the course of work on behalf of a client, a lawyer pa...; Question 66: In order to demonstrate commitment to AML compliance within ...; Question 67: What was the topic the Wolfsberg Group's first guidance addr...; Question 68: An anti-money laundering expert is hired by a new Internet b...; Question 69: According to the Basel Committee on Banking Supervision stan...; Question 70: Why should a financial institution (Fl) require an update of...; Question 71: Which two individuals are ordinarily beneficial owners of a ...; Question 72: To ensure compliance with economic sanctions established by ...; Question 73: Which of the following facilitates law enforcement agents ob...; Question 74: A compliance officer is looking to update an institutions pr...; Question 75: A non-U.S. bank asks its U.S. correspondent whether there is...; Question 76: Which payment method for purchasing luxury items is a red fl...; Question 77: Suspicious activity triggered a suspicious transaction repor...; Question 78: Which three are the most commonly used risk criteria?...; Question 79: Which of the following employee behaviors would not trigger ...; Question 80: A country that does not have strong predicate offenses and i...; Question 81: The owner of a real estate investment company deposits multi...; Question 82: How does the Financial Action Task Force (FATF) measure the ...; Question 83: A company contracts a life insurance policy with a savings f...; Question 84: What is an example of the integration stage of money launder...; Question 85: Who has the ultimate responsibility within a bank for ensuri...; Question 86: Which activity is most likely to facilitate money laundering...; Question 87: A compliance analyst is reviewing the account activity of a ...; Question 88: A professional dealer in precious metals and stones in an EU...; Question 89: A financial institution accepts new on-line customers. After...; Question 90: A financial institution's (Fl's) policy is to apply enhanced...; Question 91: What should a financial institution (FI) do in response to a...; Question 92: An AML specialist at a financial institution is presented wi...; Question 93: A compliance officer is tasked with implementing an enterpri...; Question 94: Who bears the ultimate responsibility for approving a financ...; Question 95: Which transaction should result in a suspicious activity rep...; Question 96: Which factors should lead to a reassessment of the current A...; Question 97: A bank maintains a number of United States (U.S.) dollar cor...; Question 98: Which are the requirements of the Filth AML Directive of the...; Question 99: Which insurance product is particularly vulnerable to money ...; Question 100: What does the Financial Action Task Force (FATF) urge its me...; Question 101: What are three indicators of money laundering associated wit...; Question 102: Which are the two most common controls a financial instituti...; Question 103: The local manager of a remote mortgage origination departmen...; Question 104: A company service provider in Country A sets up a corporate ...; Question 105: A bank account is established for a new business customer. T...; Question 106: An anti-money laundering specialist has just developed and i...; Question 107: A U.K. real estate agent has three foreign clients intereste...; Question 108: Release of the EU's Fourth AML Directive resulted in what ch...; Question 109: A bank teller receives a written request from a police offic...; Question 110: Which of the following are the most suspicious transaction i...; Question 111: An internal review of anti-money laundering training documen...; Question 112: The Wolfsberg Anti-Money Laundering Principles for Private B...; Question 113: On discovering employees had unintentionally provided assist...; Question 114: Which situation is the highest risk for money laundering and...; Question 115: A commission rogatory would be used in which gateway to obta...; Question 116: A close relative of a privately-owned bank's senior manager ...; Question 117: A politically exposed person (PEP) maintains an account at a...; Question 118: A corporate services provider in a European Union (EU) count...; Question 119: Which should a financial institution implement in order to i...; Question 120: A money remittance business will most likely attract money l...; Question 121: A division anti-money laundering officer for a financial ins...; Question 122: Which of the following is the best action to take regarding ...; Question 123: The Head of Compliance was informed by external auditors of ...; Question 124: Who has the day-to-day responsibility of communicating and r...; Question 125: An internal investigation log is primarily intended to:...; Question 126: The compliance officer at a crowd funding website is in char...; Question 127: FATF recommends the incorporation of some measures in custom...; Question 128: Which activities conducted by a lawyer could be a red flag f...; Question 129: Customers of a telecommunications firm received an email exp...; Question 130: When must a United States (U.S.) bank block or reject an int...; Question 131: A banker in the credit department wants to assess the risk o...; Question 132: Which is an example of structuring with regards to money lau...; Question 133: In the summer, an institution identifies anti-money launderi...; Question 134: The marketing department presents to an anti-money launderin...; Question 135: A financial institution opens a mortgage loan for a customer...; Question 136: How can a financial institution verify the nature and purpos...; Question 137: Which is a key reason why a financial institution (FI) condu...; Question 138: Normal account-opening procedures reveal a customer who cont...; Question 139: What should senior management do in order to promote a cultu...; Question 140: How should a compliance officer respond to law enforcement a...; Question 141: Which of the following provides anti-money laundering specia...; Question 142: A new accounts representative recently opened an account for...; Question 143: A European Union (EU) bank has a correspondent banking relat...; Question 144: Which private banking situation requires due diligence actio...; Question 145: Which statements relate to the mandate, roles, and responsib...; Question 146: When an institution receives a document request from law enf...; Question 147: To ensure that an institution's anti-money laundering progra...; Question 148: A businessman requests a European private bank to open a num...; Question 149: What is a method of placement that can be used by a money la...; Question 150: Upon a routine account review a money laundering investigato...; Question 151: A bank located in New York has identified suspicious transac...; Question 152: Which three stages of money laundering are on-line banking v...; Question 153: What are the regulatory risks to a bank employee who willful...; Question 154: Law enforcement submitted a request to a bank for informatio...; Question 155: Which risk factors are considered when assessing risk rating...; Question 156: According to the European Union Money Laundering Directives,...; Question 157: Which response represents a high-level principle for FATF-St...; Question 158: A relationship manager in a bank has had a private banking c...; Question 159: Which event occurs most frequently in money laundering in th...; Question 160: A customer of a bank is an established art dealer. Within th...; Question 161: Which two methods have terrorist groups used to diversify th...; Question 162: AML training programs should extend beyond basic concepts to...; Question 163: The Basel Committee on Banking Supervision issued a paper in...; Question 164: Which constitute red flags in connection with a company invo...; Question 165: Which are essential elements of a KYC program identified by ...; Question 166: A customer puts high-denomination cash notes into a poker ma...; Question 167: A high volume of incoming wire transfers generates an alert ...; Question 168: In May 2002, the Wolfsberg Principles on Private Banking wer...; Question 169: A compliance officer at a small local bank reads in the news...; Question 170: One key aspect of the Office of Foreign Assets Control's ext...; Question 171: Financial Action Task Force (FATF)-style regional bodies are...; Question 172: A bank is preparing for its anti-money laundering independen...; Question 173: On-line financial technologies are susceptible to money laun...; Question 174: An anti-money laundering audit identifies a significant weak...; Question 175: On who does the ultimate responsibility for an institution's...; Question 176: Which of the following is the most likely reason for the Fin...; Question 177: Which of the following represents the first Financial Action...; Question 178: An employee hears a colleague on the telephone with a custom...; Question 179: Historically, a tour guide has made monthly cash deposits av...; Question 180: Which action should financial institutions with cross border...; Question 181: A foreign bank maintains a correspondent account in the US. ...; Question 182: According to the Basel Committee's principles on customer du...; Question 183: According to the Basel Committee, customer acceptance, custo...; Question 184: Which methods are typically used to launder money using insu...; Question 185: A remittance company received a money order from a senior po...; Question 186: A local law enforcement officer, who is conducting a crimina...; Question 187: How does the Financial Acton Task Force (FATF) communicate i...; Question 188: What are two aspects of the Wolfsberg Anti-Money Laundering ...; Question 189: A bank sells reloadable open-loop prepaid cards to both cust...; Question 190: A long-term client of an insurance company makes changes to ...; Question 191: Which transaction should result in a SAR/STR filing?...; Question 192: When deficiencies are identified in the Financial Action Tas...; Question 193: What action does the USA PATRIOT Act allow the US government...; Question 194: Which actions are involved when a prosecutor instructs a ban...; Question 195: What should an effective anti-money laundering training prog...; Question 196: A senior government official is trying to open an account in...; Question 197: An anti-money laundering specialist notes a significant redu...; Question 198: An individual opened an account with a minimal cash deposit ...; Question 199: A benefit of using bearer shares in corporate formations is ...; Question 200: After review of the financial institution's enterprise-wide ...; Question 201: The anti-money laundering specialist of a small bank has ide...; Question 202: Cybersecurity risk can result in identity theft by:...; Question 203: What are three elements of a sound Customer Due Diligence Pr...; Question 204: A compliance analyst has recently investigated an account wh...; Question 205: Which principles of the Egmont Group of Financial Intelligen...; Question 206: A law enforcement agency is conducting an investigation of a...; Question 207: An anti-money laundering analyst is reviewing a new customer...; Question 208: A bank operates in multiple countries and offers a variety o...; Question 209: An audit completed the previous week revealed that a private...; Question 210: A compliance officer for a casino may suspect money launderi...; Question 211: Which three entities does the Third European Union Money Lau...; Question 212: Which three areas do FATF's 40 recommendations cover? Choose...; Question 213: Which is a key characteristic of the Financial Action Task F...; Question 214: Which are common types of economic sanctions? (Choose three....; Question 215: Which aspect of the USA PATRIOT Act impacts foreign financia...; Question 216: A student contacts a real estate broker to view a home but c...; Question 217: A large cash deposit most likely reflects money laundering w...; Question 218: To what extent should senior management and the Board of Dir...; Question 219: A foreign bank maintains a correspondent account in the US. ...; Question 220: Which is a valid extraterritorial effect of the USA PATRIOT ...; Question 221: The compliance officer for a bank is reviewing on-boarding d...; Question 222: Which statement identifies one of the duties of a government...; Question 223: According to the Financial Action Task Force methodology, wh...; Question 224: What does the Basel Committee's Customer Due Diligence for B...; Question 225: A bank received a subpoena regarding one of its clients. The...; Question 226: An organization uses an automated surveillance system that g...; Question 227: During an ongoing investigation into a client's activities b...; Question 228: What is the currency threshold under the European Union Four...; Question 229: Financial Intelligence Units (FIUs) are responsible for:...; Question 230: Which action indicates possible Penza scheme activity?...; Question 231: Which two factors should increase the risk of a corresponden...; Question 232: An institution receives a request for credit from a local co...; Question 233: In order for a terrorist organization to move funds from Cyp...; Question 234: When may Office of Foreign Assets Control (OFAC) sanctioned-...; Question 235: Which statements regarding the USA PATRIOT ACT best describe...; Question 236: Which of the following competent authorities should directly...; Question 237: What is a key risk associated with Correspondent Accounts ac...; Question 238: What kind of person should perform the independent testing o...; Question 239: A bank receives a request for a subpoena (or a client who ha...; Question 240: What is a tool governments and multi-national bodies can use...; Question 241: A financial institution (FI) is fined for failure to impleme...; Question 242: The board of directors receives notice from the primary regu...; Question 243: In establishing procedures for the review of suspicious tran...; Question 244: Since its last regulatory examination, a financial instituti...; Question 245: A compliance officer is reviewing transactions related to a ...; Question 246: Which elements can trigger a review of the existing relation...; Question 247: When an existing customer becomes a politically exposed pers...; Question 248: Which of the following is the main reason Internet gambling ...; Question 249: Which method to launder money through deposit-taking institu...; Question 250: Which three should real estate agents include in the criteri...; Question 251: A charity has unaudited accounts. Which of the following rep...; Question 252: A precious metals dealer opens a new account with a bank. Wh...; Question 253: A prospective client walks into an accounting firm wanting t...; Question 254: An anti-money laundering specialist at a large institution i...; Question 255: The owner of a local retail store makes multiple deposits da...; Question 256: Which activity associated with new or developing technologie...; Question 257: An accounting firm opened an account at a bank that is inten...; Question 258: A law enforcement agency submits several requests to a finan...; Question 259: Which two channels can be utilized during a cross-border mon...; Question 260: Which practices are dealers in antiques, precious metals, pr...; Question 261: What are two reasons physical certificates present a money l...; Question 262: A branch manager for a small community bank has a new custom...; Question 263: An anti-money laundering specialist is concerned that severa...; Question 264: A Trust and Company Service Provider (TCSP) providing servic...; Question 265: What are two sources for maintaining up-to-date sanctions in...; Question 266: A compliance officer at a financial institution (FI) receive...; Question 267: Which element is generally required of all anti-money launde...; Question 268: Which method to finance terrorism involves falsifying transa...; Question 269: When performing an investigation, which key steps should be ...; Question 270: Which are primary purposes of Financial Action Task Force {F...; Question 271: A bank compliance officer has implemented enhanced monitorin...; Question 272: Which of the following should an anti-money laundering speci...; Question 273: The Office of Foreign Assets Control requirements have an ex...; Question 274: A bank maintains a relationship with a customer who owns a s...; Question 275: A client is a wholesale auto business that operates as a use...; Question 276: Which is an extraterritorial function of Office of Foreign A...; Question 277: Which should authorities do to safeguard AML information exc...; Question 278: One key aspect of promoting an enterprise-wide compliance cu...; Question 279: An EU Trust and Company Service Provider (TCSP) analyst noti...; Question 280: What are the three basic functions of a national financial i...; Question 281: Which does the USA PATRIOT Act stipulate for foreign banks c...; Question 282: OFAC-issued regulations apply to which entities? (Choose two...; Question 283: Which scenario best justifies why a customer's account might...; Question 284: Which situation would require enhanced due diligence be perf...; Question 285: Which is the first valid step in the Mutual Legal Assistance...; Question 286: A new AML Officer for a US-based money service business (MSB...; Question 287: Which are characteristics of Mutual Legal Assistance Treatie...; Question 288: A key element required to ensure an anti-money laundering co...; Question 289: Which statement is true regarding the FATF standards for SAR...; Question 290: A financial institution files a suspicious transaction repor...; Question 291: According to the Financial Action Task Force, financial inst...; Question 292: What are two requirements with respect to supporting documen...

Question 36/292

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