AML & Financial Crime Test Paper 2
You have 30 minutes to complete the quiz on Anti-Money Laundering and Financial Crime. This quiz has been designed to test your knowledge and understanding in this compliance area. Please make sure that you read each question carefully
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Question 1 of 10
1. Question
The NCA was formed after SOCA was disbanded – what date did the NCA become fully operational?
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Question 2 of 10
2. Question
Name 3 Acts, laws or regulators who refer to, set or impose money-laundering regulations?
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Question 3 of 10
3. Question
Under FCA Handbook section SYSC 3.2.6, a firm must maintain effective systems and controls to counter the risk of being used for financial crime; and that firm must ensure these systems and controls:
(Fill in the blanks)
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a) enable it to , assess, and manage money laundering risk
b) are comprehensive and to the nature, and complexity of its activities
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Question 4 of 10
4. Question
Performing due diligence on all commercial and individual clients and/or suppliers is an essential control for counteracting financial crime. List 3 forms of identification that an individual or company could be asked for during verification?
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Question 5 of 10
5. Question
You must apply customer due diligence measures when: –
(You can choose multiple answers)
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Question 6 of 10
6. Question
What is a PEP?
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Question 7 of 10
7. Question
The FCA expects a firms Money Laundering Reporting Officer (MLRO) to be based in the UK?
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Question 8 of 10
8. Question
What does EDD stand for?
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Question 9 of 10
9. Question
What is the full name of the acronym JMLSG?
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Question 10 of 10
10. Question
What is a Suspicious Activity Report?
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This response will be reviewed and graded after submission.
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