Free Access ACAMS.CAMS.v2024-03-23.q386 Practice Test (Page 35)

Question 166

Which of the following reflect money laundering risk indicators in relation to a securities account?

A.Frequent wire transfers into an account immediately followed by checks (cheques) or other payment instruments drawn on the account.

B.Frequent wire transfers into an account immediately followed by debit card transactions.

C.A high level of activity in that securities account immediately followed by a high volume of securities transactions.

Question 167

How can violations of anti-money laundering laws be a risk to individuals?

A.Violations can result in additional and more stringent anti-money laundering training for individuals.

B.Violations can result in additional legislation that the individuals have to comply with.

C.Violations can result in enforcement actions that damage the reputation of the individual's employer.

D.Violations can result in civil and criminal fines and penalties against the individuals.

Question 168

What are some of the methods for sharing information and cooperating on an international basis? Choose 3 answers

A.Regulatory sharing through Supervisory Channels

B.Issuant subpoenas

C.International Money Laundering Information Network

D.Mutual Assistance Legal Treaties

Question 169

Which statement is true about banking regulatory agencies having the authority to obtain information from regulated institutions?

A.A search warrant may be substituted by a court subpoena compelling the institution to produce the information to the regulatory agency

B.The agencies authority to conduct examinations negates the need for a warrant or subpoena

C.If a regulatory agency intends to prosecute a regulated institution, a warrant or subpoena must first be granted before the information can be obtained

D.The regulatory agencies may only obtain information from the regulated institution's books and records by virtue of a search warrant

Question 170

A financial institution files a suspicious transaction report on a customer as the result of a high volume of large currency deposits to pay off a loan. A law enforcement officer calls the anti-money laundering officer to discuss the suspicious transaction report. Which of the following is the anti-money laundering officer legally permitted to do?
1. Discuss any aspects of the reported activity.
2. Provide copies of the customer's loan documents.
3. Explain the customer's loan payment history.
4. Send the deposit documents referenced in the suspicious transaction report.

A.1 and 4 only

B.2 and 4 only

C.2 and 3 only

D.1 and 2 only

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