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Pass 3I0-012 Exam Guide

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Question 56

Which of the following would not constitute an event of market isruption under the Model Code?

Options:

A.

The imposition of capital controls.

B.

A major terrorist attack on a financial centre.

C.

The failure of SWIFT.

D.

Concerted cestal bank intervention.

Question 57

If a 6-month AUD/NZD swap is quoted 173/165, which of the following statements would you consider to be correct?

Options:

A.

6-month AUD rates are higher than 6-month NZD rates

B.

6-month AUD rates are lower than 6-month NZD rates

C.

Spot AUD/NZD will be higher by approximately 170 points in 6 months

D.

The AUD yield curve is positive, whilst the NZD curve is negative

Question 58

How long does the Model Code recommend that tape recordings of dealers/brokers should be kept?

Options:

A.

At least 2 months

B.

One year

C.

Up to one month

D.

Until the maturity of the deal

Question 59

A disgruntled customer claims that he should not have to settle an FRA with you because it is really just a wager. What type of risk are you exposed to?

Options:

A.

Credit risk

B.

Legal risk

C.

Settlement risk

D.

Basis risk

Page: 14 / 27
Exam Code: 3I0-012
Exam Name: ACI Dealing Certificate
Last Update: Nov 7, 2024
Questions: 740
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