Câu 2: Advanced CAMS - Audit
An auditor is assigned to investigate the rapid growth in business achieved by a small branch with predominantly individual customers. The branch has opened, under common ownership, accounts with ten separate money services businesses (MSBs) in the previous three months. How should the auditor proceed?
Nội dung câu hỏi
An auditor is assigned to investigate the rapid growth in business achieved by a small branch with predominantly individual customers. The branch has opened, under common ownership, accounts with ten separate money services businesses (MSBs) in the previous three months. How should the auditor proceed?
Các lựa chọn
Đáp án được giữ gọn theo nhãn A, B, C, D trong phần bình chọn tương tác.
- A. Discuss with the local branch manager and seek an explanation for the successful growth in business in such a short period of time.
- B. Review the depth and accuracy of the CDD performed on the common principals of each MSB. — đáp án hiện tại
- C. Escalate the unusual business growth to the prudential regulator.
- D. Visit each MSB outlet to gain first-hand knowledge of the varying types of clientele using the MSBs’ products.
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