AML-CFT Quizz

To success the AML-CFT Quizz, the score obtained must be higher than 80 points.

réponse obligatoire

Question 1

Please enter your first and last name

réponse obligatoire

Question 2

Which of the following cases could be considered as an aggravated money laundering:

When it is committed in a regular way or using the facilities/powers provided by the exercise of a professional activity

When it is committed for a political or religious purpose

When it is committed in an organized gang

réponse obligatoire

Question 3

Money laundering process takes place in 3 steps: 1-Placement 2-Stacking 3-Integration
Which of the following operation presents the 2nd process' step "Stacking"

Assets are sold and funds are invested in a new business

Transit of funds through several countries and executing a succession of financial transactions to hide the origin of funds and the link with the initial crime

Large sums of money are divided into smaller transactions to circumvent detection or reporting requirements when deposited into bank accounts

décocher

réponse obligatoire

Question 4

Which of the following rules is not required by AML-CFT laws and regulations:

Good knowledge of customers

Constant suspicion of customers, regardless of their nature and the typology of operations

Moderate or increased vigilance depending on the clients’ operations

Systematic reporting of suspicious transactions

réponse obligatoire

Question 5

ML-FT risk classification is performed based on 5 regulatory axes, select the right ones:

Product, client, FATCA '& CRS, transactions and distribution channel

Product, client, geography, transactions and distribution channel

Product, client, geography, origin and destination of funds, distribution channel

décocher

réponse obligatoire

Question 6

For a corporate client, NBKF Business Relationship Officer found out that the shareholding structure has changed and one of the UBO’s has a political exposure, please select the right process to be followed:

Client risk assessment, collection of new documents, maintaining the client business relationship

Client contact, collection of new documents, submission of the new information to compliance department

Client identification and identity verification, Client risk assessment, business relationship approval up to Compliance and General Manager

décocher

réponse obligatoire

Question 7

For detecting atypical operations, NBKF transactions uurveillance framework is performed via:

Ongoing vigilance of all NBKF employees

Manuel and automatic transactions surveillance

Public information and news

Group exchange of information

réponse obligatoire

Question 8

Following an internal audit, some deficiencies have been identified over the IT tool dedicated to transactions surveillance, to remedy, some IT enhancement should be implemented by an external service provider. How is responsible of approving and allocating the necessary budget?

NBKF Head of AML-CFT

NBKF Senior Management Officers (General Manager and Deputy General Manager)

NBKF Board members

décocher

réponse obligatoire

Question 9

In case of a suspicious transaction, what are the appropriate measures to be taken by the Business Relationship Officer

Discuss the suspicious transaction with a Business officer of another bank

Escalate the case to Middle Office for an enhanced review and ask the client for further information in relation with the transaction in question, if needed

Inform the client about the suspicious character of his transaction and the necessity of its reporting to TRACFIN

décocher

réponse obligatoire

Question 10

Senior Mangement Officers are responsible for:

Client relationships refusal or termination for compliance purpose

Reviewing and adapting AML –CFT framework to be aligned and compliant with regulatory change

Prohibition of dealing with some countries

Prohibition of some products, services, transactions, distribution channels

réponse obligatoire

Question 11

In case of FT allegations against NBKF, Senior Mangement Officers could be punished by :

10 years' imprisonment and a fine of 225,000 €

7 years' imprisonment and a fine 3,000,000 €

30 years of imprisonment and a fine of 500,000 €

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AML-CFT Quizz

Please enter your first and last name

Which of the following cases could be considered as an aggravated money laundering:

Money laundering process takes place in 3 steps: 1-Placement 2-Stacking 3-IntegrationWhich of the following operation presents the 2nd process' step "Stacking"

Which of the following rules is not required by AML-CFT laws and regulations:

ML-FT risk classification is performed based on 5 regulatory axes, select the right ones:

For a corporate client, NBKF Business Relationship Officer found out that the shareholding structure has changed and one of the UBO’s has a political exposure, please select the right process to be followed:

For detecting atypical operations, NBKF transactions uurveillance framework is performed via:

Following an internal audit, some deficiencies have been identified over the IT tool dedicated to transactions surveillance, to remedy, some IT enhancement should be implemented by an external service provider. How is responsible of approving and allocating the necessary budget?

In case of a suspicious transaction, what are the appropriate measures to be taken by the Business Relationship Officer

Senior Mangement Officers are responsible for:

In case of FT allegations against NBKF, Senior Mangement Officers could be punished by :

Money laundering process takes place in 3 steps: 1-Placement 2-Stacking 3-Integration
Which of the following operation presents the 2nd process' step "Stacking"