試験の準備方法-権威のあるAdvanced-CAMS-Auditミシュレーション問題試験-最高のAdvanced-CAMS-Auditテストサンプル問題

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ACAMS Advanced-CAMS-Audit 認定試験の出題範囲：

トピック	出題範囲
トピック 1	Reporting, Recommendations, and Follow-Up: This section of the exam measures the skills of audit managers and covers the communication of audit findings to stakeholders. It includes developing clear recommendations for improvement based on evaluation results and ensuring follow-up on those recommendations.
トピック 2	Corporate Governance and the Audit Function: This section of the exam measures the skills of auditing professionals and covers the principles and frameworks that guide effective governance in organizations. It emphasizes understanding the roles and responsibilities of the board of directors, management, and auditors. A key skill assessed is the ability to evaluate governance structures and their impact on organizational performance.
トピック 3	Fieldwork and Evaluation: This section of the exam measures the skills of target professionals to demonstrate audit procedures during fieldwork. It involves collecting evidence, testing controls, and evaluating findings to ensure accuracy and reliability.
トピック 4	Planning and Scoping: This section of the exam measures the skills of audit managers and covers the processes involved in planning an audit engagement. It includes defining the scope, objectives, and resources required for an effective audit. A critical skill evaluated here is the ability to identify risks and develop a comprehensive audit plan that addresses those risks while ensuring compliance with relevant standards.

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ACAMS Advanced CAMS-Audit Certification Exam 認定 Advanced-CAMS-Audit 試験問題 (Q20-Q25):

質問 # 20
Which KYC-related finding poses the most risk to the organization?

A. KYC processes not being integrated into the business and associated application systems
B. KYC requirements being considered a low priority not designed into business processes and implemented after product launch
C. Sanctions fists that are updated on a periodic basis following an annual risk assessment
D. Backlogs and delays in maintaining client files in accordance with the organization's policy

正解：B

解説：
KYC integration is fundamental to ensuring that anti-money laundering controls are effective from the outset of client onboarding. Delayed implementation of KYC increases the risk of onboarding high-risk customers without adequate due diligence.
Advanced CAMS-Audit documentation stresses the importance of embedding KYC into business processes during product design and rollout phases to mitigate risks.
Neglecting this requirement can expose the organization to severe regulatory penalties and reputational damage.

質問 # 21
The standard audit report format requires that an executive summary of the findings is included. Which statement is most appropriate for summarizing detailed findings'?

A. Although the evidence of enhanced due diligence performed was not available audit was satisfied that the risk of higher risk clients has been appropriately mitigated.
B. Evidence indicated inconsistent application of the client risk rating procedures and lack of evidence of enhanced due diligence measures for higher risk clients.
C. The dealers have assured they are able to identify long-standing regular clients that are typically collectors and customers for occasional transactions.
D. Deletion of transaction records for completed occasional transactions is operationally an efficient practice.

正解：B

解説：
Executive Summary Requirements:
* The statement focuses on clear, evidence-based findings, critical for reflecting material deficiencies in enhanced due diligence (EDD) for high-risk clients.
Guidelines for Reporting:
* FATF emphasizes the consistent application of risk rating systems to ensure ML/TF risks are adequately mitigated.

質問 # 22
During a sample review, the auditor notices that an alert was generated for a large deposit that was inconsistent with the customer profile. The customer has had no other incidents in the past 10 years and has provided documents to confirm the deposit as a property sale. What should the auditor do?

A. Document the conclusion within the audit work papers.
B. Increase the sample size.
C. Consult with the compliance officer.
D. Carry out further investigation of this alert.

正解：A

解説：
Rationale for Documenting Conclusions:
* Documenting findings ensures transparency and provides an audit trail. This is critical when the incident is consistent with provided evidence and no further investigation is warranted.
Audit Work Paper Standards:
* CAMS-Audit recommends that all conclusions be adequately documented, especially when deviations from normal patterns are justified with valid explanations.

質問 # 23
A financial institution (FI) recently updated its transaction monitoring (TM) thresholds During validation which should be provided as evidence of optimized thresholds'? (Select Two.)

A. Above-the-line and below-the-line testing
B. Comparison against past suspicious activity reported
C. A copy of the FI's AML risk assessment
D. Length of time the FI has deployed the software program
E. Proof of validation from the TM software provider

正解：A、B

解説：
Comparison Against Past Suspicious Activity Reported:
* This evaluates whether the new thresholds are identifying similar or improved patterns of suspicious activity compared to prior thresholds.
* Helps validate that the updated thresholds align with the institution's AML risk profile and regulatory expectations.
Above-the-Line and Below-the-Line Testing:
* Above-the-line tests verify that alerts generated by the thresholds include expected suspicious transactions.
* Below-the-line tests assess transactions below the threshold to ensure no significant suspicious activities are missed.
CAMS-Audit Reference:
* Advanced CAMS-Audit frameworks emphasize the importance of both historical comparison and robust testing methodologies to validate transaction monitoring system updates.

質問 # 24
Which products/services increase the risk level for money laundering for XYZ Bank?

A. Letters of credit
B. Foreign exchange services
C. International fund transfers
D. Payable through accounts

正解：C、D

解説：
Payable through accounts allow foreign banks' customers direct access to the correspondent account, which can increase the risk of money laundering due to less direct oversight.

質問 # 25
......

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試験の準備方法-権威のあるAdvanced-CAMS-Auditミシュレーション問題試験-最高のAdvanced-CAMS-Auditテストサンプル問題

ACAMS Advanced-CAMS-Audit 認定試験の出題範囲：

一生懸命にAdvanced-CAMS-Auditミシュレーション問題 & 合格スムーズAdvanced-CAMS-Auditテストサンプル問題 | 効率的なAdvanced-CAMS-Auditテスト資料

ACAMS Advanced CAMS-Audit Certification Exam 認定 Advanced-CAMS-Audit 試験問題 (Q20-Q25):

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