Combating Financial Crime Exam

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CISI – Combating Financial Crime Quiz 05 is covered –
know the three classes of fraud defined in the UK Fraud Act (2006) • false representation • failing to disclose information • abuse of position
know common examples of types of fraudulent activity: • Identity fraud, identity theft and account takeover • Cyber attacks and computer hacks • Phishing • Ransomware and other forms of Malware • Application fraud • Advanced fee / 419 fraud • Money mules / Smurfing • Authorised push-payment fraud • Smurfing
know the difference between internal and external fraud
know international and UK legislation for combating market abuse • The EU Market Abuse Regulation (2014) (MAR) • The Dodd Frank Wall Street Reform and Consumer Protection Act (Dodd Frank) and the Volcker Rule • FATF Risk-based Approach Guidance for the Securities Sector (2018) • ESMA guidance • Market Abuse (Amendment) (EU Exit) Regulations 2019
know behaviours that constitute market abuse
know the insider dealing provisions of the UK’s Criminal Justice Act 1993 (part 5, s.52)
know the offences relating to financial services provisions of the UK’s Financial Services Act 2012 (part 7, sections 89, 90 & 91)
know how market abuse is detected
know the main provisions of the Sarbanes-Oxley Act (2002)
know the difference between tax evasion and tax avoidance

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