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AML – FICA COMPLIANCE – ASSESSMENT
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Match the sort element to the criterion
- 15 BUSINESS DAYS
- 5 BUSINESS DAYS
- 2 BUSINESS DAYS
SUSPICIOUS TRANSACTION REPORT (STR)
TERRORIST PROPERTY REPORT (TPR)
CASH THRESHOLD REPORT (CTR)
How much is the prescribed value for a transaction to be considered a “single transaction”
Crimes related to racketeering can be prosecuted in terms of which Act?.
In the case where an accountable institution is unable to perform Customer Due Diligence as contemplated in section 21, the institution …….
A PIP should be treated as a…….
What type of report must be submitted if a potential client refuses to provide the required client identification and verification documentation
What is the penalty for not keeping records?
- Customer Due Diligence
- Single Transaction
an identification process to establish and verify the identity of clients PRIOR to establishing a business relationship or concluding a transaction.
conduct a detailed risk assessment to detect suspicious behavior.
an advanced KYC due diligence process for further risk investigating.
It is a person within the main company that owns or controls over 10% of the company shares
Type of report that must be send to the FIC as soon as possible and not longer than 15 working days.
Value of the transaction is more than R4 999.00
Should a staff member not get consent from a customer to collect personal information, they are in contravention of which legislation?
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
Who is categorised as a PIP?
Who do you report a Suspicious Transaction to in your office?