Advanced-CAMS-Audit Simulationsfragen, Advanced-CAMS-Audit Originale Fragen

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ACAMS Advanced-CAMS-Audit Prüfungsplan:

Thema	Einzelheiten
Thema 1	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.
Thema 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.
Thema 3	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.
Thema 4	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.

ACAMS Advanced CAMS-Audit Certification Exam Advanced-CAMS-Audit Prüfungsfragen mit Lösungen (Q47-Q52):

47. Frage
Which are methods to test internal controls related to the CDD and KYC process? (Select Two.)

A. Evaluate the results of the sample testing of new and existing customer relationships for adherence to the CDD and KYC process.
B. Confirm with client onboarding teams whether or not high-risk customers exist.
C. Confirm if suspicious activity reports were filed following escalation for non-compliance with the CDD and KYC process.
D. Review the accuracy of the gap analysis of the CDD and KYC policies and procedures against local regulations.
E. Ask the account officers whether the CDD and KYC information provided is correct.

Antwort: A,D

Begründung:
Testing Internal Controls:
* C. Gap Analysis: Ensures policies are compliant with local regulations and address identified risks.
* D. Sample Testing: Verifies that processes are effectively implemented in practice for both new and existing customers.

48. Frage
The auditor determines that the population for transaction monitoring testing can be stratified into five distinct categories. To complete testing which sampling method should the auditor use to identify the sample size?

A. Proportional
B. Risk-based
C. Statistical
D. Judgmental

Antwort: C

Begründung:
* Importance of Statistical Sampling in Transaction Monitoring Testing:
* Statistical sampling is the most suitable method when dealing with stratified populations, as it ensures a representative sample is drawn from each distinct category.
* This method allows auditors to achieve reliable results by applying mathematical and probabilistic models to calculate the required sample size, ensuring unbiased and valid conclusions.
* Relevance to Stratified Populations:
* When the transaction monitoring population is divided into distinct categories, statistical sampling ensures that each category is proportionately represented based on its size or risk level within the overall population.
* Evaluation of Other Options:
* Judgmental Sampling:Relies on auditor discretion and may introduce bias, making it unsuitable for ensuring proportional representation in stratified populations.
* Proportional Sampling:Focuses only on proportional representation but does not leverage statistical tools to determine the optimal sample size or confidence levels.
* Risk-Based Sampling:While effective in certain contexts, it is better suited for focusing on high- risk categories rather than ensuring comprehensive representation of all strata.
* Alignment with Advanced CAMS-Audit Standards:
* Advanced CAMS-Audit recommends statistical sampling for stratified populations to ensure that all categories are adequately tested and results are statistically valid for compliance and performance assessments.
Conclusion:The auditor should usestatistical samplingto identify the sample size when testing a stratified population for transaction monitoring. This ensures a reliable, unbiased, and mathematically sound basis for the audit.

49. Frage
in addition to this investigation report, what Information should the auditor expect to find in the investigative file? (Select Two.)

A. Policies and procedures relating to AML investigations and suspicious activity report filing.
B. Independent review by the compliance officer's line manager.
C. Historical transaction data of the customer s account.
D. Adverse news search results against the customers and its controlling persons.
E. Board approval for the suspicious activity report filing by the compliance department.

Antwort: C,D

Begründung:
Adverse news provides context on potential risks associated with the customer, while historical transaction data is critical for understanding patterns that may indicate suspicious activity.

50. Frage
Why is it crucial for the audit plan to consider the effectiveness of the AML risk assessment controls and risk mitigants?

A. There is a regulatory requirement for the audit to update the AML risk assessments on a continuous or specified periodic basis.
B. Audits need to approve the implementation of the controls and review testing outcomes.
C. Strict CDD rules promote high ethical and professional standards in the financial industry.
D. Improper identification and assessment of risk creates deficiencies resulting in an overall weakened AML compliance program.

Antwort: D

Begründung:
B: Improper identification and assessment of risk creates deficiencies resulting in an overall weakened AML compliance program.

51. Frage
Which recommendation should the audit team provide to address transaction monitoring (TM) issues?

A. Apply the same thresholds across all client types to ensure alignment of risk coverage.
B. Switch off those detection scenarios that are producing too many false positives.
C. Provide training for first-line staff on how to review and disposition TM alerts.
D. Perform a coverage assessment of the current suite of TM detection scenarios against the bank's money laundering and terrorist financing risks

Antwort: D

Begründung:
Importance of Coverage Assessment:
* Coverage assessment ensures that the TM scenarios address the full spectrum of identified money laundering (ML) and terrorist financing (TF) risks relevant to the organization.
* This aligns with FATF Recommendations on risk-based approaches and the effectiveness of transaction monitoring systems.
Key Reference Justification:
* Basel Committee guidelines stress that financial institutions must regularly review their transaction monitoring coverage to ensure alignment with the risk landscape.

52. Frage
......

Die Zertifizierung der ACAMS Advanced-CAMS-Audit zu erwerben bedeutet mehr Möglichkeiten in der IT-Branche. Wir Zertpruefung haben schon reichliche Erfahrungen von der Entwicklung der ACAMS Advanced-CAMS-Audit Prüfungssoftware. Unsere Technik-Gruppe verbessert beständig die Prüfungsunterlagen, um die Benutzer der ACAMS Advanced-CAMS-Audit Prüfungssoftware immer leichter die Prüfung bestehen zu lassen.

Advanced-CAMS-Audit Originale Fragen: https://www.zertpruefung.de/Advanced-CAMS-Audit_exam.html

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Advanced-CAMS-Audit Simulationsfragen, Advanced-CAMS-Audit Originale Fragen

Die neuesten Advanced-CAMS-Audit echte Prüfungsfragen, ACAMS Advanced-CAMS-Audit originale fragen

ACAMS Advanced-CAMS-Audit Prüfungsplan:

ACAMS Advanced CAMS-Audit Certification Exam Advanced-CAMS-Audit Prüfungsfragen mit Lösungen (Q47-Q52):

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