3I0-012 Exam Dumps - ACI Dealing Certificate

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Question # 97

Where voicemail equipment is used for the reporting and recording of off-premises transactions, voice mail should be:

installed on secret number known only to the chief dealer

installed and located in the office of the head of compliance

installed and located in such a way that reported transactions cannot be subsequently erased without senior management approval.

securely saved by recordings that have to be stored for at least a twelve-month period

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Question # 98

An FRA is:

A cash instrument

An exchange traded derivative

An interest rate derivative

A balance sheet instrument

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Question # 99

If GBP/USD is 1.5350-53 and USD/JPY is 97.50-53, what is GBP/JPY?

149.66-74

149.69-71

63.52-53

63.51-54

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Question # 100

What is the ISO code for the Indian rupee?

IDR

RUP

INR

IND

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Question # 101

What would be the strategy for a bank if it is unable to speculate on interest rates and/or unable to absorb market risk?

to run a zero gap

to hold more interest rate sensitive assets than interest rate sensitive liabilities

to reduce the size of the balance sheet

to hold fewer interest rate sensitive assets than interest rate sensitive liabilities

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Question # 102

Which one of the following statements is incorrect under Basel III?

Instruments qualifying for recognition as Tier 1 or Tier 2 capital will be substantially restricted.

Basel III does not include Tier 3 capital

There is a distinction between upper Tier 2 and lower Tier 2 capital

New non-common equity Tier 1 and Tier 2 instruments are more loss-absorbing than previously

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Question # 103

Which of the following statements is correct?

With liquidity transfer pricing (LTP) banks attribute the costs, benefits and risks of liquidity to respective business units within a bank

With liquidity transfer pricing (LTP) banks are monitoring and diversifying their funding base

With liquidity transfer pricing (LTP) banks are agreeing with external liquidity providers on the fair market price of funds

Liquidity transfer pricing charges providers of funds for the cost of liquidity and users of funds for the benefit of liquidity

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Question # 104

The columns below list short-term cash rates on 3rd April and 3rd F1ay 3rd April 3rd May

Describe the shape of the short-term segment of the yield curve on 3â€™ April using market terminology. In addition, describe the change in the shape of the curve between 3rd April and 3rd May.

Positive, steepening

Positive, flattening

Inverted, steepening

Inverted, flattening

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