先試後買

A. Location

B. Date of birth of a new customer

C. Identification number

D. Account number

E. Name of person

F. Employer of an existing customer

A. Textbooks

B. Cigars

C. Art reproductions

D. Toys

A. The institution incorporates updates to sanction listings into its automated screening tool on a monthly basis.

B. The institution uses software that does not account for alternative spellings of prohibited countries or parties.

C. The institution excludes incoming SWIFT transfers from sanction screening, instead relying on the controls of the sending/correspondent bank.

D. The institution uses internally managed whitelists and calibrates the threshold to reduce false positives.

A. Names with longer character strings

B. Names that contain middle names

C. Names with suffixes or titles

D. Names with a number

E. Names that contain nicknames

A. Privacy coins provide anonymity on the blockchain but can be screened for sanctions compliance by the exchange.

B. The cryptocurrency exchange can rely on the financial institution to perform due diligence on their clients.

C. A tumbler/mixer service mingles cryptocurrency making it difficult to perform effective sanctions screening.

D. Privacy coins provide enhanced anonymity features that negate the requirements for sanctions screening.

A. The FI should not consider a broader set of controls for reviewing at a later stage.

B. The FI's management information reports should be available to everyone.

C. The FI must have a robust screening control program with a clear strategy in place.

D. The FI should gather the required information on a best-efforts basis.

E. The FI should ensure comprehensive training for people involved in the alert clearing process.

A. Reject the transaction and file a report on the transaction with the appropriate regulator.

B. Block the transaction, place the funds in an interest-bearing account, and file a report on the transaction.

C. File a suspicious activity report and notify the customer of the red flags identified during the review.

D. Process the transaction and refer the transaction for further investigation by the bank's financial intelligence unit.

A. If the customer is an individual whose last name matches the alert, but whose first name does not match, the investigation should continue by contacting the customer for more information.

B. If the customer is an unrelated company with the same name, there is no need to proceed further with an investigation.

C. If the customer is a vessel with the same name, the investigation should continue to establish who is the owner of the vessel.

D. If the customer is an individual with a match on the first and last name, and the country of birth, but not on the country of residence, then there is no need to proceed further with the investigation.

A. Comprehensive sanctions

B. Sectoral sanctions

C. Corporate sanctions

D. Individual sanctions