Kyc - Study guides, Class notes & Summaries

Test-Bank=Introduction to Clinical Pharmacology 10th Edition=VisovskyComplete Test-Bank Chapter 01= Pharmacology and the Nursing Process in LPN Practice Visovsky=Introduction to Clinical Pharmacology=10th Edition MULTIPLE CHOICE 1. The LPN is collecting data for the initial assessment of a patient upon admission to a Long-term care facility before giving the patient’s prescribed drugs. Which action should the LPN consider to be the highest priority? a. Obtain any special equipment that...

Conduct and Practices Handbook (CPH) Exam 136 Questions with Answers Duty of care - CORRECT ANSWER This refers to obligation #3 of registered representative (RR) about acting honestly, in good faith, and in a professional manner. This is a requirement to provide advice to clients with those attributes in mind along with the proper skills and knowledge to do so. It is important to note that the standard of care provided is not a standard of perfection. RRs are usually held to this standard muc...

What does suitability mean for recommendations? - Correct Answer-It means ensuring all recommendations: - Take into account the client' s unique circumstances and investment objectives - Are based on the adviser's understanding of the client's personal and financial situation, as well as knowledge of the various available investment options What does the KYC rule state? When must it be done? - Correct Answer-States that an advisor must use due diligence to learn the essential facts ...

KYCOM 2020-BLOCK 2 BIOCHEM BRS BOOK QUESTIONS AND ANSWERS WITH VERIFIED SOLUTIONS transfer glucose from UDP-glucose to the nonreducing end of a glycogen primer A newborn is found to have fasting hypoglycemia. The nursery staff begins overnight feeds by nasogastric tube because they find that the child has consistently low blood sugars. A liver biopsy and molecular studies demonstrate an absence of glycogen synthase. The normal function of this enzyme is to do what? loss of a lysosomal glucosi...

What is sanctions evasion? A counterparty is the other side of a transaction—the seller where the customer is the buyer, or vice versa. An institution establishes counterparty relationships with other third-party participants in a transaction for an established customer. Another way to establish a counterparty relationship is to provide a service to an individual or entity that has not established a full customer relationship. Such a relationship usually exists only for the life of the tr...

AML/KYC questions with correct answers

CDD/KYC AND FINANCIAL INSTITUTIONS - Answer • KYC - information gathering • CDD - continuous checks and monitoring of the information gathered and subsequent monitoring CDD/KYC THE BEST INTERNATIONAL STANDARD PRACTICE IN AML/CFT CDD/KYC AND FINANCIAL INSTITUTIONS - Answer • CDD - Customer Due Diligence • KYC - Know Your Customer • Identification, Address, Location, etc. • KYCB - Know Your Customers Business • Transaction Profile, Type & Nature of business, Sources of F...

AML/KYC What does SPDD stand for? - ANSWER-Special Due Diligence What does EDD stand for? - ANSWER-Enhanced Due Diligence What does CDD stand for? - ANSWER-Customer Due Diligence During an Automatic High Risk review process the Entity and Client will both need what done? - ANSWER-Media Search List some examples of Entities? - ANSWER-Insurance companies, Jewelry companies and third party pay

CRPC Chapter 9 Test Questions with Correct Answers Prudent Investor Rule - Answer-Updated in the Uniform Prudent Investor Act of 1994 Any investment as part of total portfolio Risk vs return No categorical restrictions on types of investments Diversify investments Delegation of trust Inv and management functions Detailed records - Answer-Recommendation and decision All data from client- need to have to make sure looking out for best interest of client Fiduciary as defined b...

Anti-Money Laundering Law (RA 9160, as amended by RA 9194) | Latest Version | Graded A+ How does the Bank Secrecy Act contribute to anti-money laundering efforts? The Bank Secrecy Act contributes to anti-money laundering efforts by requiring financial institutions to maintain detailed records of transactions, file reports on suspicious activities, and implement internal controls to detect and prevent money laundering. What is the purpose of the Financial Action Task Force (FATF) ...