Advanced-CAMS-Audit考試資料，Advanced-CAMS-Audit考試題庫

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>> Advanced-CAMS-Audit考試資料 <<

準備充分的Advanced-CAMS-Audit考試資料和資格考試中的領先提供者和更新的ACAMS Advanced CAMS-Audit Certification Exam

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最新的 AML Certifications Advanced-CAMS-Audit 免費考試真題 (Q18-Q23):

問題 #18
Which can be excluded from an audit report?

A. Overall opinions, judgments or conclusions reached in prior audit reports
B. The risk or control framework or other criteria used as a basis for the overall opinion
C. The overall opinion judgment, or conclusion reached
D. The scope, including the time period to which the opinion pertains

答案：A

解題說明：
Exclusion from Current Audit Reports:
* Prior conclusions are relevant for context but do not belong in the current report, which should focus on new findings and opinions.
Other Options:
* The risk framework, scope, and current conclusions are integral to the current audit report.

問題 #19
During a sanction review, an auditor notes that several of the bank's large corporate clients continue to route transactions through the bank to certain Office of Foreign AssetsControl (OFAC)-sanctioned countries.The head of corporate clients stated that these transactions were executed under the OFAC license.What should an auditor know to distinguish between an OFAC general license and a specific license?

A. A specific license authorizes a transaction for an entity and a general license authorizes a transaction for an individual.
B. A general license authorizes a transaction for an entity and a specific license authorizes a transaction for an individual.
C. A specific license authorizes a type of transaction and a general license authorizes a transaction in response to a written license application.
D. A general license authorizes a type of transaction and a specific license authorizes a transaction in response to a written license application.

答案：D

解題說明：
Distinguishing General and Specific Licenses:
* Ageneral licensepermits predefined categories of transactions without individual approval.
* Aspecific licenseis issued for unique transactions based on a written application evaluated on a case-by- case basis.
OFAC Guidance:
* Auditors should verify that transactions routed through sanctioned countries align with the licenses and confirm appropriate documentation for compliance.

問題 #20
Following completion of testing and tuning of the parameters and thresholds of the transaction monitoring model which final step should the team recommend as necessary to verify effective model functioning?

A. Model validation
B. Data validation
C. Audit continuous monitoring
D. Regulatory approvals

答案：A

解題說明：
Purpose of Model Validation:
* Model validation ensures that the transaction monitoring model is functioning as intended, effectively identifying suspicious transactions and mitigating AML/CFT risks.
* It encompasses testing data accuracy, parameter relevance, threshold efficacy, and compliance with regulatory requirements.
Process:
* Validation includes end-to-end reviews, statistical evaluations, and expert assessments of model outputs.
* According to FATF and Basel Committee standards, model validation is a critical component of the AML framework.
Irrelevance of Other Options:
* Audit continuous monitoringfocuses on ongoing oversight, not the specific confirmation of initial model functionality.
* Data validationaddresses data quality but does not verify operational model performance.
* Regulatory approvalsare necessary for compliance but are not a step in verifying model functioning.

問題 #21
Which requirement of a financial institution's compliance program should an auditor review first to understand key roles and responsibilities?

A. List of high-risk customers subject to enhanced due diligence and the measures taken to mitigate the risks
B. Names of politically exposed persons that are subject to ongoing monitoring
C. List of suspicious transactions reported to the regulator
D. Designation of an individual or individuals responsible for coordinating and monitoring day-to-day compliance

答案：D

解題說明：
Key Roles and Responsibilities:
* Identifying compliance coordinators helps auditors understand the operational framework and ensure clear accountability in managing day-to-day AML compliance activities.
Initial Review Focus:
* This step provides a foundational understanding of the institution's compliance structure, enabling targeted assessments of other program components.
Advanced CAMS-Audit Reference:
* CAMS-Audit emphasizes that the effectiveness of an AML program hinges on having designated individuals who oversee compliance processes.

問題 #22
When testing the operational effectiveness of an institution's customer risk rating model an auditor finds that the risk rating is not in accordance with the model specification in some cases.After interviewing developers andofficers,the auditor learns the specification document is inaccurate and has not been updated in a timely manner.Which are appropriate corrective action plans'? (Select Two.)

A. Check periodically if released rules are operating as per the specifications.
B. Set up a checkpoint before release to make sure that the release is in accordance with the specifications.
C. Alert the person incharge of releasing the model that me release must comply with the specifications.
D. Tram KYC personnel to recognize errors in the customer risk rating model.
E. Report this matter to the board of directors.

答案：A,B

解題說明：
B: Periodic Checks: Regular monitoring ensures that implemented rules align with updated specifications and are functioning as intended, reducing the risk of deviation from compliance standardsints Before Release**:
Establishing validation checkpoints ensures that all releases comply with documented specifications, mitigating risks of errors in the risk rating model

問題 #23
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Advanced-CAMS-Audit考試資料：Advanced CAMS-Audit Certification Exam考試最新發布|更新的Advanced-CAMS-Audit考試題庫

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