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3I0-012 – ACI Dealing Certificate

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Showing 16–18 of 20 questions

Question 16 (Volume D)

In the event that standard settlement instructions are provided by a third party, full authentication and authorization of those SSIs should be independently performed by?

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  • ○

    Sales I trading staff
  • ○

    Operations staff
  • ○

    Nostro staff
  • ○

    Front office staff
Question 17 (Volume E)

Which of the following correctly states the Model Code’s recommendations regarding terms and documentation?

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    Such documentation should be bi-laterally signed by the dealers of both principals intending to transact business.
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    When using such agreements... the wording in the agreement must be changed to match the actual transaction details after trading.
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    Such documentation should be signed, in many cases before any applicable market transactions are entered into.
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    For instruments where standard terms do not exist, the Model Code recommends that no documentation should be used.
Question 18 (Volume D)

Under Basel Securitization rules the highest potential risk weight is:

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  • ○

    350%
  • ○

    750%
  • ○

    1250%
  • ○

    1500%