This California State Senator was recently indicted on arms trafficking and corruption charges
Who is Leland Yee?
100
Why is it important to check country of birth for HRC Wires?
What is possibly incoming or outgoing wire to/from a sanctioned country?
100
What is MUFG's Latest Acquistion?
What is Bank of Ayudhya?
100
This Financial Institution was fined $1.9 billion in 2012 for OFAC violations
Who is HSBC?
100
Every 3rd business day of the month all SU Agents should prepare by doing this
PDF or print 5 cases to be able to work if the system is down
200
This financial institution was recently fined $461 million, and for what reason
What is JP Morgan Chase for failing to file SAR regarding Bernard L Madoff scheme?
200
Iran, Syria, Sudan, and Cuba
What are the OFAC Comprehensive Sanctioned Countries?
200
Under UB Policies, How are "Administrators" and "Exchangers" of Virtual Currency treated?
What is Prohibited?
200
Macedonia, Yugoslavia, Greece, Bosnia, Albania, Bulgaria, Romania
Where is Balkans?
200
TWO NEW ALERT RULES implemented effective 01/13/2014
What are MEXICAN RESTRICTION and DRUG SMUGGLING?
300
The new FIU Director
Who is Kevin McHenry?
300
This country has limited sanctions but GSU includes it on it's list of countries SU is to refer activity to GSU.
Where is North Korea?
300
Ways that drug cartels diverisify their income
What are illegal mining (iron ore), logging, and extortion?
300
On Feb 14 2014, FATF (Financial Action Task Force) updated list of jurisdiction identified to have AML/CFT (Counter Terrorist Financing) Deficiencies. Name the country that is NOT on that list:
1. Argentina
2. Mogolia
3. Lao
4. Vietnam
5. Iraq
Where is Vietnam?
300
Name at least 5 of UB's Designated Border Branches
Where are Bonita Point, Brawley, Calexico, Castle Parke, Chula Vista, Eastlake, El Centro, Imperial Beach, and San Ysidro?
400
As of 2011, what country ranked first in illicit financial outflows?
Who is China?
400
What determines a client has clear tie to a sanctioned country (Name 3)
What is country of birth, address, passport, or citizenship?
400
Over $1,000 requires record keeping
What is the threshold for currency exchange?
400
On Feb 14 2014, FATF (Financial Action Task Force) updated list of Jurisdiction subject to FATF's call for Countermeasures or subject to EDD due to their AML/CTF Deficiecies. Name the country that is ON the list
1. Kenya
2. Turkey
3. Tanzania
Where is Turkey?
400
Chop, Chit, Flying Monkey
What is underground banking?
500
$2.00 ATMPOS to Backpage
$8.00 ACH to Backpage
$8.00 ACH to Backpage
What is a red flag of Human Trafficking?
500
1. Comply with US Federal and State Laws
2. Prevent OFAC violations
3. Protect UB and the larger US Financial System from Rogue States, Criminals, and Terrorst Financing.
What is why the bank should have an OFAC Compliance Program?
500
The reason for UB changing its Corporate Name and Structure?
What is the Federal Reserve Board's Plan to Change The Way It Supervises Foreign Banks?
500
The Most Recent Financial Institution that was fined by FinCEN
Who is Adam Service?
500
BSA/OFAC, Enterprise Fraud Managment, and Corporate Security & Investigations.