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High Bets Medium Bets Play and Win 1 million questions Final round
500
1. Integrity - 2. Due skill, care and diligence
3. Management, systems and controls
4. Resources - 5. Market conduct
6.Information - 7. CoI
8. Suitability - 9. Customer assets
10. Relations with the regulators
11. Compliance & Corporate Governance
12. Remuneration policies
List the principles (12) for the authorized companies
200
Dubai International Financial Center
Free zone
What is the DIFC?
300
1. Compliance/AML policies and procedures
2. Contact person with the regulator and the authorities
3. SAR
4. Deliver training
List 4 responsibilities of a CO/MLRO
700
1. Bribery, corruption, fraud
2. Capital adequacy
3. Manipulation
Name 3 severe regulatory breaches
500
CO/MLRO
Where should i report a suspicion i have about money laundering and/or terrorism financing?
300
1. Integrity
2. Due skill, care and diligence
3. Relations with the DFSA
4. Management, Systems and Controls
5. Compliance
6. Market conduct
List the principles (6) for individuals
200
Dubai Financial Services Authority
The regulator of the free zone (DIFC)
What is the DFSA?
200
True
Sanctions may be decided on a company level
700
IGID has 1 combined policy for both
IGID has one separate policy for compliance and one separate policy for anti-money laundering
200
True
The CBUAE's laws, regulations, etc are also compulsory for companies located in the free zones
300
1. Internal Audit
2. Compliance
3. Risk Management
Name 3 functions of Internal Control
300
1. CO/MLRO, SEO or Legal
2. Immediately upon receipt
3. In writing and in full detail
To whom should i report a complaint from a client?
When and how?
300
1. Chairman of the Board
2. Group Compliance Officer
3. Group Legal Officer
If there is suspicion of a fraud case, where the SEO and the CO/MLRO are involved, to whom should i report the incident?
700
FALSE!!!
The HQ of IGI are in Jordan, hence IGID is obliged to comply with the Jordanian laws
300
1. Economic
2. Travel ban
3. Sports
Name 3 types of sanctions
400
ENGLISH
What is the official language of the DFSA?
400
1. Beneficial owners
2. Country of origin
3. Product or service
4. Financial situation
Name 4 risks related to the customer/client
400
FALSE!!!!
Our company doesn't have a Whistleblowing Policy, because we have in place a Data Protection Policy to safeguard confidentiality.
700
FALSE!!!!
Terrorism Financing is when the company or the individual offer money to an organization/individual related to terrorism
100
Yes
Are we obliged to follow the OFAC Sanctions?
500
How are the authorized individuals?
Washef
Pervez
Henri
Afroditi
500
1. Iran
2. Cuba
3. Libya
4. North Korea
Name 4 sanctioned countries
500
FALSE!!!!
Confidentiality can be compromised upon the SEO's approval for achieving a business deal
700
FALSE!!!!!
Declaration of outside the company business activities must be reported only when they are related to the same industry of IGID.
200
False
Compliance is the responsibility of the senior management and the CO/MLRO




Compliance Game 2021 - IGI

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