3I0-010 試験問題を無料オンラインアクセス

You receive a trade to process with counterparty settlement instructions that differ from those you hold on your standard settlement instruction file (SSI).

• A.You should make the payment in accordance with the trade instructions
• B.You should check the SSI with your dealer and contact the counterparty to seek his specific instructions
• C.You should not make the payment
• D.You should make the payment in accordance with the SSI you are holding without referring to your dealer or contacting the counterparty

What is the disadvantage having separate cash accounts?

• A.The workload of the auditors, compliance officers, risk managers and dealers will be higher
• B.One account could be overdrawn while the other has excess funds. The surplus balance would earn less interest than the amount being charged on the corresponding overdraft if an error occurs in settlement. Thus there is a risk of overdraft interest versus idle balances
• C.One securities account could be overdrawn while the other has excess securities. The surplus balance would earn less interest, if any, than that being charged on the corresponding overdraft if an error occurs in settlement
• D.You need more back office staff to book the fees

What are the three successive stages of money laundering?:

• A.layering, integration, placement
• B.integration, placement, layering
• C.integration, layering, placement
• D.placement, layering, integration

Which of the following statements is correct?

• A.The settlement amount is paid at the trade date of a FRA.
• B.The cash settlement amount on a FRA is usually a discounted amount.
• C.The settlement of a FRA is paid at maturity date.
• D.The settlement amount on a FRA is not based on the LIBOR for the relevant period.

Which department is responsible for originating deals?

• A.the middle office
• B.the back office
• C.the front office
• D.the compliance department