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ACAMS Advanced-CAMS-Audit 시험요강:

주제	소개
주제 1	Corporate Governance and the Audit Function: This section of the exam measures the skills of auditing professionals and covers the principles and frameworks that guide effective governance in organizations. It emphasizes understanding the roles and responsibilities of the board of directors, management, and auditors. A key skill assessed is the ability to evaluate governance structures and their impact on organizational performance.
주제 2	Planning and Scoping: This section of the exam measures the skills of audit managers and covers the processes involved in planning an audit engagement. It includes defining the scope, objectives, and resources required for an effective audit. A critical skill evaluated here is the ability to identify risks and develop a comprehensive audit plan that addresses those risks while ensuring compliance with relevant standards.
주제 3	Reporting, Recommendations, and Follow-Up: This section of the exam measures the skills of audit managers and covers the communication of audit findings to stakeholders. It includes developing clear recommendations for improvement based on evaluation results and ensuring follow-up on those recommendations.
주제 4	Fieldwork and Evaluation: This section of the exam measures the skills of target professionals to demonstrate audit procedures during fieldwork. It involves collecting evidence, testing controls, and evaluating findings to ensure accuracy and reliability.

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최신 AML Certifications Advanced-CAMS-Audit 무료샘플문제 (Q55-Q60):

질문 # 55
Which should the auditor recommend to management in terms of the client's risk rating procedures?

A. Include an assessment of risk factors of channel, credit, and transaction risk to determine the client's composite AML and sanctions risk score.
B. Remove enhanced due diligence requirements for long-standing clients that are art collectors and do not transact with precious metals.
C. Provide staff with training on new record retention requirements for occasional transactions.
D. Remediate client files to verify their AML and sanctions risk rating and document enhanced due diligence measures, where applicable.

정답：A

설명：
* Incorporating Comprehensive Risk Factors
* By including an assessment of channel, credit, and transaction risks, the client's overall risk profile is accurately determined. This aligns with risk-based approaches emphasized by FATF and CAMS-Audit standards.
* These risk factors provide a granular view of the client's risk level, ensuring proper classification into Standard or Enhanced Due Diligence categories.
* Regulatory Alignment
* FATF Recommendations mandate that client risk assessments consider the products, services, and delivery channels used, as well as geographic and transactional risks.
ConclusionImplementing composite AML and sanctions risk scores ensures the institution is compliant with regulatory standards and adequately mitigates risks associated with different client profiles.

질문 # 56
The auditor identifies that the bank launched trade finance services this year.The target clients are multinational companies who actively support China's belt and road initiatives.Which scoring themes would be affected? (Select Two.)

A. 13.1
B. 12.1
C. 12.2
D. 11.2
E. 11.3

정답：D,E

설명：
* Identification of Themes Relevant to Trade Finance Services:
* Trade finance services for multinational companies participating in China's Belt and Road initiatives involve transactions with potential geopolitical, regulatory, and economic risks.
* These transactions generally encompass cross-border activities, high-value accounts, and potentially politically exposed persons (PEPs).
* Scoring Theme A (11.2): Economic Activity and Geographical Risks:
* As these services involve international trade, they are inherently linked to economic activity and geographical risks. FATF guidelines indicate the necessity to evaluate regions with different AML
/CFT maturity levels. This is consistent with theme 11.2, focusing on the understanding and mitigation of risks associated with economic and geographical contexts.
* Scoring Theme B (11.3): Customer Due Diligence and Enhanced Measures for High-Risk Profiles:
* The target clientele includes multinational companies, which might require enhanced customer due diligence (EDD), especially when engaging with entities or PEPs from countries with varying regulatory controls.
* FATF Recommendations and Basel Committee insights emphasize robust customer identification, verification, and ongoing monitoring, aligning with theme 11.3's requirements.
* Not Affected Themes:
* C (12.1):This theme pertains more to specific reporting or transaction monitoring requirements that might not directly relate to the initiation of trade finance services.
* D (12.2) and E (13.1):These themes are typically associated with procedural adjustments rather than the scoring of risk profiles.
* Advanced CAMS-Audit Framework Alignment:
* Advanced CAMS-Audit highlights the role of structured compliance frameworks in mitigating risks tied to strategic initiatives like the Belt and Road.
* Evaluators assess the institution's alignment with FATF, Basel Committee, and regional guidelines to ensure adherence to best practices for risk mitigation.
Conclusion:The scoring themes A (11.2) and B (11.3) are significantly influenced by the introduction of trade finance services targeting multinational corporations under China's Belt and Road initiatives. This is due to the intertwined economic and geographical risks and the requisite enhanced due diligence measures for high-risk customer segments.

질문 # 57
in addition to this investigation report, what Information should the auditor expect to find in the investigative file? (Select Two.)

A. Policies and procedures relating to AML investigations and suspicious activity report filing.
B. Board approval for the suspicious activity report filing by the compliance department.
C. Independent review by the compliance officer's line manager.
D. Adverse news search results against the customers and its controlling persons.
E. Historical transaction data of the customer s account.

정답：D,E

설명：
Adverse news provides context on potential risks associated with the customer, while historical transaction data is critical for understanding patterns that may indicate suspicious activity.

질문 # 58
Which conclusion should the auditor make regarding the staff attendance of the periodic AML training program organized by the bank?

A. Staff attendance is complete because all staff in the institution are required to attend the AML training as part of the staff onboarding process.
B. Staff attendance is incomplete because the compliance officer or the delegates are not part of the staff facilitating the 3-hour periodic AML training.
C. Staff attendance is complete because the training is mandatory for staff in the business, operations compliance and senior management whose duties involve knowledge of AML controls and processes.
D. Staff attendance is incomplete because the board of directors is not part of the staff required to attend the periodic trainings, and there is no other specially designed AML training for the board.

정답：D

설명：
Importance of AML Training for All Levels of an Institution:
* Advanced CAMS-Audit and FATF emphasize that AML training programs should be inclusive of all stakeholders, including senior management and board members, as they are integral to establishing an effective AML/CFT compliance culture.
Board-Level Training Specifics:
* Directors require tailored AML training to address strategic oversight responsibilities rather than operational controls. Periodic training is mandatory to keep the board updated on regulatory changes and institutional risk profile adjustments.
Audit Observation:
* Exclusion of the board from AML training reflects a gap in the institution's AML framework, potentially exposing it to regulatory scrutiny.
Reference to AML/CFT Standards:
* FATF Recommendations mandate training for all levels of an institution, explicitly highlighting senior management and governance roles in compliance efforts.

질문 # 59
Which KYC-related finding poses the most risk to the organization?

A. Backlogs and delays in maintaining client files in accordance with the organization's policy
B. KYC requirements being considered a low priority not designed into business processes and implemented after product launch
C. KYC processes not being integrated into the business and associated application systems
D. Sanctions fists that are updated on a periodic basis following an annual risk assessment

정답：B

설명：
KYC integration is fundamental to ensuring that anti-money laundering controls are effective from the outset of client onboarding. Delayed implementation of KYC increases the risk of onboarding high-risk customers without adequate due diligence.
Advanced CAMS-Audit documentation stresses the importance of embedding KYC into business processes during product design and rollout phases to mitigate risks.
Neglecting this requirement can expose the organization to severe regulatory penalties and reputational damage.

질문 # 60
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높은통과율Advanced-CAMS-Audit높은통과율덤프데모문제인기덤프

ACAMS Advanced-CAMS-Audit 시험요강:

Advanced-CAMS-Audit유효한 덤프자료 & Advanced-CAMS-Audit인기자격증 인증시험자료

최신 AML Certifications Advanced-CAMS-Audit 무료샘플문제 (Q55-Q60):

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