Which findings indicate issues that would cause a lack of understanding of the risks associated with the business the financial institution conducts? (Select Three.)
Which finding indicates issues that could result in clients being subject to incorrect scenarios and thresholds?
Which finding must be first remediated in order to understand is risks the organization is exposed to?
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?
The auditor reviews the AML compliance program and after a walk -through, determines that AML - related reports to the board could be useful to test the governance and management oversight. The AML reports vary in content and complexity. Which sampling method should the auditor select?
The auditor identifies that the bank launched trade finance services this year. The target clients are multinational companies who actively support China's belt and road initiatives. Which scoring themes would be affected? (Select Two.)
