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CISI-Managing Operational Risk in Financial Institutions
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Question 1 of 10
1. Question
What types of derivatives do not fall into the category of Miscellaneous derivatives?
Correct
Money saving accounts do not fall into the category of Miscellaneous derivatives.Rather, it includes Rates of inflation, or other government economic statistics, Ability for transfer or transport of goods, whether by wire, pipeline or by other means and A geological, environment or other physical variable.
Incorrect
Money saving accounts do not fall into the category of Miscellaneous derivatives.Rather, it includes Rates of inflation, or other government economic statistics, Ability for transfer or transport of goods, whether by wire, pipeline or by other means and A geological, environment or other physical variable.
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Question 2 of 10
2. Question
Which statement best describes physical investment strategy?
Correct
Some ETPs buy and hold some or all of the shares, or securities, listed in the index they are tracking. This approach is known as a physical investment strategy because the ETP buys the actual securities which make up the index and whose price it wants to track.
Incorrect
Some ETPs buy and hold some or all of the shares, or securities, listed in the index they are tracking. This approach is known as a physical investment strategy because the ETP buys the actual securities which make up the index and whose price it wants to track.
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Question 3 of 10
3. Question
Pick out a statement that is not a benefit of exchange traded products.
Correct
As for the number of investment options and costs, certain investment products can also provide similar advantages. That argument does not clarify a positive feature of goods traded on the market.
Incorrect
As for the number of investment options and costs, certain investment products can also provide similar advantages. That argument does not clarify a positive feature of goods traded on the market.
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Question 4 of 10
4. Question
If you are talking about investing in ETPs, which query is not relevant for you to consider?
Correct
“Is it going to help me get home early?” is not a substantial factor to consider as it has little connection with ETP of any kind.
Incorrect
“Is it going to help me get home early?” is not a substantial factor to consider as it has little connection with ETP of any kind.
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Question 5 of 10
5. Question
Which of the four items examined was the one that covered consumers within a clear range against interest rate fluctuations?
Correct
In comparison to swaps or caps, collars are the element that shielded consumers within a clear range from interest rate volatility.
Incorrect
In comparison to swaps or caps, collars are the element that shielded consumers within a clear range from interest rate volatility.
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Question 6 of 10
6. Question
Which of the statements below talk about structured collars?
Correct
This helps a client to restrict interest rate volatility within a defined range while leaves the client vulnerable to interest rate increases.
Incorrect
This helps a client to restrict interest rate volatility within a defined range while leaves the client vulnerable to interest rate increases.
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Question 7 of 10
7. Question
The FCA considers that “risk capital activity” requires the carrying on of any of the following:
Correct
The FCA claims that “risk capital activity” includes advising on acquisitions, portfolio management, managing (making) investments in, or preparing for venture capital fund transactions.
Incorrect
The FCA claims that “risk capital activity” includes advising on acquisitions, portfolio management, managing (making) investments in, or preparing for venture capital fund transactions.
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Question 8 of 10
8. Question
The FCA believes that, where an organization depends on a rating system or data provided by another member of its party, it will not meet the requirement that it use a cohesive approach to the IRB unless:
Correct
The eagerness of the FCA and the consolidating administrator of the group to carry out their obligations under the EU CRR is not impacted negatively.
Incorrect
The eagerness of the FCA and the consolidating administrator of the group to carry out their obligations under the EU CRR is not impacted negatively.
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Question 9 of 10
9. Question
The FCA requires a firm to include data regarding loan repayments as a reference for default data to:
Correct
Perform sensitivity analysis documenting circumstances where the assumption that default arrears should be used as a proxy would result in long-run PD estimates being unreliable.
Incorrect
Perform sensitivity analysis documenting circumstances where the assumption that default arrears should be used as a proxy would result in long-run PD estimates being unreliable.
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Question 10 of 10
10. Question
Which of the following is not expected by FCA from a firm to develop country-specific mid-market PD models?
Correct
The FCA requires a organization to have fair criteria in place to assess once in a while if a model rank correctly commands hazard and forecasts default rates.
Incorrect
The FCA requires a organization to have fair criteria in place to assess once in a while if a model rank correctly commands hazard and forecasts default rates.