ACI Dealing Certificate 認定 3I0-012 試験問題:

1. If the yield curve is upward sloping, a bank would not profit from:

A) paying a higher rate on deposits than the market
B) borrowing long and lending short
C) increasing the banks leverage
D) borrowing short and lending long

2. If 6-month EUR/AUD is quoted at 29/32, which of the following statements is correct?

A) EUR rates are higher than AUD rates in the 6-month
B) There is a positive EUR yield curie
C) There is not enough information to decide
D) AUD rates are higher than EUR rates in the 6-month

3. How long does the Model Code recommend that tapes and other records of dealers/brokers be kept?

A) at least three months
B) up to one month
C) one year
D) at least two months

4. With regard to operational risk awareness, which of the following best practices is incorrect?

A) Whenever possible action plans should be put in place that mitigate operational risks that have been identified.
B) A report describing operational risks, the most significant incidents and corrective plans of action should be established on a quarterly basis.
C) Every time a report describing operational risks is produced, it should be provided to senior management.
D) It is good practice to collect and analyze incidents and near-misses so as to set up preventive action plans for the future.

5. Which of the following is true regarding the consummation of a deal?

A) verbal agreements are considered binding
B) written confirmations always override terms verbally agreed to
C) verbal agreements are never to be considered legally binding
D) deals agreed to verbally can be done subject to documentation

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