Creating Realistic Vector Graphics Quiz
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AML – FICA COMPLIANCE – ASSESSMENT
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Question 1 of 12
1. Question
Match the sort element to the criterion
Sort elements
- 15 BUSINESS DAYS
- 5 BUSINESS DAYS
- 3 BUSINESS DAYS
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SUSPICIOUS TRANSACTION REPORT (STR)
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TERRORIST PROPERTY REPORT (TPR)
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CASH THRESHOLD REPORT (CTR)
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Question 2 of 12
2. Question
How much is the prescribed value for a transaction to be considered a “single transaction”
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Question 3 of 12
3. Question
In the case where an accountable institution is unable to perform Customer Due Diligence as contemplated in section 21, the institution …….
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Question 4 of 12
4. Question
A PIP should be treated as a…….
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Question 5 of 12
5. Question
What type of report must be submitted if a potential client refuses to provide the required client identification and verification documentation
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Question 6 of 12
6. Question
What is the penalty for not keeping records?
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Question 7 of 12
7. Question
Match
Sort elements
- KYC
- Customer Due Diligence
- EDD
- UBO
- STR
- Single Transaction
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an identification process to establish and verify the identity of clients PRIOR to establishing a business relationship or concluding a transaction.
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conduct a detailed risk assessment to detect suspicious behavior.
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an advanced KYC due diligence process for further risk investigating.
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It is a person within the main company that owns or controls over 10% of the company shares
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Type of report that must be send to the FIC as soon as possible and not longer than 15 working days.
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Value of the transaction is more than R4 999.00
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Question 8 of 12
8. Question
Should a staff member not get consent from a customer to collect personal information, they are in contravention of which legislation?
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Question 9 of 12
9. Question
Where an employee acts in such a way as to notify a client that an STR has been filed on their account, this is classified as
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Question 10 of 12
10. Question
Who is categorised as a PIP?
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Question 11 of 12
11. Question
Who do you report a Suspicious Transaction to in your office?
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Question 12 of 12
12. Question
What is the prescribed value required for a “Cash Threshold Report”?
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