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| Section | Weight | Objectives |
|---|---|---|
| Tools and Technologies to Fight Financial Crime | ||
| Building an AFC Compliance Program | ||
| Global AFC Frameworks, Governance and Regulations | - AML Regulatory Framework (Elective options: Canada, EU, UK, USA) | |
| Understanding Risks and Methods of Financial Crime | 30% | - Financial Crime Risks related to VASPs, cryptoassets, and related products - Financial Crime Risks related to MSBs, PSPs, and ecommerce platforms - Financial Crime Risks related to products within other financial sectors - Financial Crime Risks related to Politically Exposed Persons (PEPs) and high-risk customers - Financial Crime Risks related to insurance products - Financial Crime Risks related to real estate - Financial Crime Risks related to gatekeepers - Financial Crime Risks related to gaming and gambling - Financial Crime Risks related to trusts and company service providers |
Die Bewertung des Geldwäscherisikos im Zusammenhang mit einem Produkt im Finanzsektor umfasst die Bewertung folgender Aspekte:
(Wählen Sie zwei aus.)
Correct Answer: A,B 🗳️
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Es ist wichtig, im Rahmen des KYC/CDD-Prozesses alle „Familienmitglieder“ oder „engen Vertrauten“ politisch exponierter Personen (PEPs) zu identifizieren, da es sich dabei um folgende Personen handeln könnte:
Correct Answer: C 🗳️
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Ein Kunde, der ein neues Unternehmen gründen möchte, wendet sich an einen Anbieter von Treuhand- und Unternehmensdienstleistungen, der verschiedene Dienstleistungen für Unternehmen anbietet. Der Kunde wünscht Unterstützung beim Gründungsprozess, eine lokale Geschäftsadresse, jährliche Wartungsdienste und die Benennung von Personen, die in offizieller Funktion für das neue Unternehmen tätig sein sollen.
Welche der folgenden Dienstleistungen birgt ein höheres Geldwäscherisiko?
Correct Answer: A 🗳️
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Wie in den Leitlinien des Basler Ausschusses für ein „solides Management der Risiken im Zusammenhang mit Geldwäsche und Terrorismusfinanzierung“ betont wird, sollte die dritte Verteidigungslinie bzw. die Revisionsfunktion:
Correct Answer: C 🗳️
Ein Compliance Officer schließt einen Fall ab und kommt zu dem Schluss, dass die Ereignisse keinen Anlass zur Einreichung eines Berichts über verdächtige Aktivitäten (SAR) geben.
Welche der folgenden Angaben sollten in den Fallnotizen enthalten sein, um die Nichteinreichung eines SAR zu begründen? (Wählen Sie zwei aus.)
Correct Answer: A,D 🗳️
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