Knowledge Base

Which client due diligence procedure is required by Articles L.561-1 et seq. of the Code monétaire et financier to mitigate external fraud risk?

Checking the AMF and ACPR blacklists

Multi-factor authentication

KYC (Know Your Customer)

Suspicious transaction report to TRACFIN

What measure is mandatory upon detection of a significant anomaly according to due diligence procedures?

Implementation of multi-factor authentication

Checking the AMF and ACPR blacklists

Filing a suspicious transaction report with TRACFIN

Dual transaction validation

What is the main purpose of regularly checking the AMF and ACPR blacklists?

Verify compliance of financial transactions

Identify fraudulent counterparties

Ensure traceability of operations

Validate staff authorizations

The DORA Regulation imposes a harmonized framework for ICT risk management, including regular penetration testing.

True

False

The AMF SPOT Cybersecurity reports identify inadequate management of IT service providers as a best practice.

True

False

DICT criteria for sensitive data:

Click to see answer

Categorize items by dragging them to the appropriate zones

Items to categorize:

Appointing a cybersecurity officer at executive committee level

Absence of sensitive data mapping

Regular staff awareness campaigns

Partial coverage of the cyber framework in the Business Continuity Plan

Categories:

Cybersecurity best practices

Frequently sanctioned deficiencies

According to AMF Guide DOC-2014-06, what constitutes the first level of control for mitigating fraud risk?

The Compliance and Internal Control Officer (RCCI)

Internal or external audit

Operational staff and their direct management

Regulatory authorities such as the AMF