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Test on Anti-Money Laundering 2024

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Your Department

Management

Asset Management

Brokerage

General Management (HR and Administration)

Risk Compliance

FICC / DCM

General Management (Finance)

Operations Management

Others

What are the three common stages in money laundering?

a) Placement, layering, and integration.

b) Investigation, prosecution, and conviction.

c) Identification, prevention, and detection.

d) Monitoring, reporting, and enforcement.

The frequency of client review for High risk clients/Neutral risk clients are:

a) Every 1 year, Every 2 years

b) Every 1 year, Every 3 years

c) Every 2 years, Every 2 years

a) Every 2 years, Every 3 years

The potential penalties for contravening a specified provision in the Anti-Money Laundering and Counter-Terrorist Financing Ordinance is Imprisonment and fines.

True

False

PEP is defined as an individual who is or has been entrusted with a prominent public function, such as: i. a head of state, head of government, senior politician, senior government, judicial or military official, senior executive of a state-owned corporation and an important political party official; ii. a spouse, a partner, a child or a parent of an individual falling within (i) above, or a spouse or a partner of a child of such an individual; oriii. a close associate of an individual falling within (i) above.

a) (i) only

b) (i) and (ii) only

c) (ii) and (iii) only

a) All of the above

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