Session 6 -FIU Money Related Scenarios

As per FIU guidelines of March 2016, _______ number of themes has been prescribed for Stock Brokers

• 9

• 11

• 13

• 15

As per FIU guidelines of March 2016, _______ number of scenarios are present in Trackwizz System for Stock Brokers

• 11

• 15

• 21

• 22

What will be Fair Value of Client calculated if his
Annual Income is 1-5 lacs,
Exact Income is 4 Lacs,
Income Multiplier is 3
Default Income is defined as 1 Lacs

• 3 Lakh

• 12 Lakh

• 15 Lakh

What will be Fair Value of Client calculated if his Annual Income is not available,
Income Multiplier is 3
& Default Income defined is 1 Lakh

• Zero

• 1 Lakh

• 3 Lakh

• 5 Lakh

Client Annual Income is 1-5 Lacs, he has invested Rs 1 Crore in one month period. As per feedback received from client he has sold the forefather property worth Rs. 5.00 Crore. Is the amount invested suspicious in nature.

• Yes

• No

• Not Sure

• Not Attempting

For a given scenario, if no rule / threshold is configured, will the system generate alert in such case

• Yes

• No

• Not Sure

• Not Attempting

FIU-IND stands for

• Financial Infiltration Unit - IND

• Financial Intellectual Unit - IND

• Financial Interpol Unit - IND

• Financial Intelligence Unit - IND

To generate the alert, is there any specific amount threshold given by FIU to be followed by Brokers as per March 2016 circular

• Yes

• No

• Not Sure

• Not Attempting

In Scenario S59 High Money In flow - New A/c, If for a client Aakash, If account opening date is not updated / Blank, and He has breached the threshold limit, Will he be qualified for the Alert.?

• Yes

• No

• Not sure

• Not Attempting