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Helping Hand Questions for 3I0-012

Page: 12 / 27
Question 48

Under Basel rules, what is the meaning of IRB?

Options:

A.

Internal Risk Based

B.

Internal Ratings Based

C.

Intrinsic Risk Based

D.

Internal Rule Based

Question 49

You and a dealer at another bank have an informal bilateral reciprocal arrangement to quote each other two-way prices. During periods of high volatility, the other dealer refuses to quote to you. The Model Code states that

Options:

A.

The other dealer should act with honour, honesty and integrity.

B.

It is a purely matter for your two institutions.

C.

Such arrangements are not in any way enforceable or binding.

D.

All of the above.

Question 50

When using legal documentation proposed modifications:

Options:

A.

Should be documented as soon as possible after a deal is done.

B.

Should be clearly stated before a deal.

C.

Can be agreed verbally.

D.

Are not permissible.

Question 51

Dealers are allowed to trade for their own account if:

Options:

A.

The dealers have good track records in their dealing both for the institution and for themselves.

B.

There has been no previous conflicts of interest in the dealing room.

C.

There is a clearly laFd down policy.

D.

The dealers see no conflict of Interest in such dealing.

Page: 12 / 27
Exam Code: 3I0-012
Exam Name: ACI Dealing Certificate
Last Update: Nov 21, 2024
Questions: 740
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