Tag (SQ): Regulatory compliance

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BCL – L1 – SA – Q11 – Company Directors and Other Officers

Describes role of a company secretary.

What is the role of a company secretary?

A   Administrative tasks and regulatory compliance

B   Marketing and sales

C   Legal representation in court

D   Financial management

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FM – L2 – Q12 – Economic and regulatory environment

Outline three unfair practices from GBA Bank's new AI-based credit assessment system.

KWE Bank is part of a large financial services group in Kumasi, KWE Group. KWE Bank provides personal loans to individuals. In order to determine whether a customer is an acceptable credit risk for a loan to be offered, KWE has used the information provided by the customer in their application form together with an employer’s salary reference.

KWE intends to introduce a more sophisticated credit risk assessment system to determine whether loans should be advanced to customers. This system will combine information from the credit application with any information about the customer held by KWE Group and unstructured information about the customer obtained from their online activity. This data will be analysed by an AI-based credit assessment system that uses machine learning to improve the accuracy of its credit assessments over time.

Required:

Outline three ways in which KWE’s new credit assessment system may lead to practices that are likely to be viewed as unfair.

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AAA – L3 – Q8 – Rules of professional conduct

Outline points for a paper on money laundering obligations for an audit firm, including definitions, offenses, and firm responsibilities.

Points to be included in paper for partners re money laundering

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