Which action could be taken by an organization to better understand the threats faced from proliferation financing?

• A. Undertake a detailed review of all payment-related transactions to any clients identified as defense contractors, paying special attention to the beneficial owners of those clients
• B. Read and analyze the most recent National Proliferation Financing Risk Assessment produced by the relevant body of the organization's jurisdiction
• C. Review the organization's sanction risk assessment to better understand the potential for exposure to Russia and the Democratic People's Republic of Korea
• D. Work with the front-line to understand their strategic growth targets specifically aimed at increasing their market share around military technology and dual-use products

Which statement regarding data privacy is the most accurate in the context of AML investigations?

• A. Any customer that is the subject of a suspicious report filing has the right to request redaction of their personal data
• B. Organizations are required to demonstrate that customers have opted into information sharing before submitting suspicious activity reports to relevant financial intelligence units (FIUs)
• C. Data privacy laws prohibit information sharing between financial institutions for the purposes of AML investigations in all jurisdictions
• D. FIUs should document purposes for which personal data included on suspicious activity reports may be shared with other agencies

The compliance officer at an EU bank is investigating one of the customer accounts maintained with the bank for the last two years. According to bank records, the company's primary economic activity is import and export of petrochemical products Over a period of one year, the account transactions have exceeded US$500 million with various high-value inward wire transfers received from suppliers in Yemen followed by outward wire transfers to counterparties in Azerbaijan. Which factor should give the compliance officer the greatest concern If observed in the investigation?

• A. The EU bank considers the origin and destination countries Involved in the transactions to be high-risk.
• B. The customer specializes in the import and export of petrochemical products.
• C. Media searches reveal a report that the customer was accused of misconduct three years ago.
• D. The EU bank received no originator or beneficiary information for the wire transfers.
• E. The customer's activity includes multiple cross-border transactions involving various counterparties.

Country A's anti-corruption authority has been investigating the movement of potential proceeds of bribery and corruption to Country B and is now preparing to take the case to a local court.
Which method of obtaining the required evidence to prosecute the case would be most effective?

• A. Make an official request directly from the head of Country A's anti-corruption authority to Country B's corresponding law enforcement authority
• B. Use the International Criminal Police Organization (INTERPOL) network to obtain the required evidence from Country B
• C. Use the Egmont Secure Web to obtain the required evidence from Country B's financial intelligence unit
• D. Make a request for the required evidence using Country A's mutual legal assistance treaty with Country B

Which measures help ensure that the name screening process is effective in identifying potential risk? (Select Three.)

• A. Conduct a risk assessment to determine which data attributes to screen, screening frequency, and database selection
• B. Conduct regular testing to validate that the screening system is performing as expected
• C. Assign a designated person to ensure consistent implementation of screening controls
• D. Define in policies and procedures the screening scope, frequency, and alert adjudication process
• E. Identify the most commonly used name screening database in the industry