3I0-012 Exam Dumps | Which of the following does not represent an operational risk as defined by Basel rules?

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Question 275/415

Which of the following does not represent an operational risk as defined by Basel rules?

A. loss incurred from the use of incorrect documentation

B. theft of information

C. damage to an organization through loss of its reputation or standing

D. market manipulation

Question List (415q): Question 1: An option premium is a positive function of:...; Question 2: Today's date is Thursday 12th December. What is the spot val...; Question 3: Gambling or betting amongst market participants has obvious ...; Question 4: Where there are shared management responsibilities or where ...; Question 5: What is the day count/annual basis convention for JPY money ...; Question 6: You are paying 1,00% per annum paid semi-annually and receiv...; Question 7: What is the probability of an at-the-money option being exer...; Question 8: A 6-month SEK/NOK Swap is quoted 140/150. Spot is 0.9445. Wh...; Question 9: What is the maximum maturity of a US Treasury bill?...; Question 10: 3-month USD/CHF is quoted at 12/10. Interest rates in Switze...; Question 11: If the yield curve is upward sloping, a bank would not profi...; Question 12: Confirmations should be sent out by both counterparties thro...; Question 13: What is a "normal" shaped curve?...; Question 14: Using the following rates: 3M (90-day) eurodeposits3.50% 6M ...; Question 15: A dealer needs to buy USD against SGD. Of the following rate...; Question 16: Which of the following will tend to have the higher yield?...; Question 17: You have written a EUR/USD knock-in option for a bank counte...; Question 18: What do you call a combination of a long (short) call option...; Question 19: The popularity of FX-trading via Internet platforms has seri...; Question 20: Click on the Exhibit Button to view the Formula Sheet. You a...; Question 21: How can material divergences between the value of cash and c...; Question 22: What rate should be used if the settlement date in a foreign...; Question 23: The seller of a floor:; Question 24: Which of the following statements is true? The repo legal ag...; Question 25: If I say that I have "bought and sold" EUR/USD in an FX swap...; Question 26: Which position below is NOT a component of common equity Tie...; Question 27: What is the expression used to describe a genuine error (wro...; Question 28: You are the buyer of protection in a credit default swap. Al...; Question 29: Using the following rates: spot GBP/CHF 2.3785-15 spot CHF/S...; Question 30: You have quoted your customer the following CAD deposit rate...; Question 31: The market is quoting: 3-month (90-day) NZD 2.55% 6-month (1...; Question 32: When a broker needs to switch a name this should be done:...; Question 33: When is interest conventionally due on a 3-year interbank eu...; Question 34: By what means should a financial institution preferably subm...; Question 35: What should be done when a voice broker calls "off" at the v...; Question 36: Which of the following is not in the Model Code?...; Question 37: Your broker quotes you EUR/USD at 1.3425-28. You respond by ...; Question 38: Four banks provide you with quotes in CHF/SEK. Which is the ...; Question 39: As regards controls, which of the following best practices f...; Question 40: Which one of the following statements about "CLS rescinds" i...; Question 41: The Interest Rate Parity Theorem should work because, when o...; Question 42: You are quoted spot NZD/USD 0.6821-26 and USD/CHF 1.4652-56 ...; Question 43: When differences in payment arise because of errors in the p...; Question 44: Which one of the following statements concerning covenants i...; Question 45: Bank XYZ calls you for a quote in EUR/USD for EURO 20 millio...; Question 46: What is a Vostro account?; Question 47: Which of the following is not transferable?...; Question 48: When you are accepting a stop loss order, you must:...; Question 49: The market is quoting: 1-month (30-day) GBP 0.47% 7-month (2...; Question 50: Which of the following statements about the Liquidity Covera...; Question 51: With reference to dealing periods, what does the term "short...; Question 52: Which of the following statements reflects the position of t...; Question 53: To establish and maintain a short position in deliverable se...; Question 54: Brokers should confirm all transactions:...; Question 55: Payment and settlement instructions should be passed:...; Question 56: You have borrowed at 3-month LIBOR+50. LIBOR for the loan wi...; Question 57: What is the result of combining a 1-month buy and sell FX sw...; Question 58: The one-month (31-day) GC repo rate for French government bo...; Question 59: All other things being equal the interest rate risk of a fix...; Question 60: What are de minimis claims?; Question 61: Taking collateral to hedge the credit risk on a counterparty...; Question 62: A dealer in the spot foreign exchange market has to assume t...; Question 63: Which of the following dealing strategies involves the placi...; Question 64: What is a long strangle option strategy?...; Question 65: If GBP/USD is 1.5350-53 and USD/JPY is 97.50-53, what is GBP...; Question 66: The Model Code recommends that, in the case or complaints ab...; Question 67: What recommendation does the Model Code make in cases of mar...; Question 68: If 6-month EUR/AUD is quoted at 29/32, which of the followin...; Question 69: You and a dealer at another bank have a verbal bilateral rec...; Question 70: An FX forward outright has been dealt for a value date which...; Question 71: When is a broker allowed to assume a deal is closed:...; Question 72: Management policy on the use of mobile devices by trading sa...; Question 73: You need to buy USD 5,000,000 against GBP and are quoted the...; Question 74: Using the following rates: 3M (90-day) EUR deposit 0.25% 6M ...; Question 75: You borrow GBP 2,500,000.00 at 0.625% for 165 days. How much...; Question 76: What should be done when a voice broker hits a dealer's pric...; Question 77: What does the Model Code recommend regarding the practice of...; Question 78: Are the forward points materially affected by changes in the...; Question 79: Purchasing a USD/JPY call option is equivalent to:...; Question 80: Fraud is typically classified as:...; Question 81: You and a dealer at another bank have an informal bilateral ...; Question 82: You are quoted the following market rates: Spot EUR/USD 1.30...; Question 83: The Interest Rate Parity Theorem states that:...; Question 84: If the daily 90% confidence level VaR of a portfolio is corr...; Question 85: You are paying 5% per annum paid semi-annually and receiving...; Question 86: A Eurozone-based bank that is liability-sensitive to market ...; Question 87: You hear from a client of good standing that a major market ...; Question 88: A CD with a face value of USD 50,000,000.00 and a coupon of ...; Question 89: Which of the following are quoted in terms of a yield-to-mat...; Question 90: If you sell forward USD to a client against EUR, what is the...; Question 91: If the duration gap is zero, how will a small parallel shift...; Question 92: An option contract that gives the buyer the right to exercis...; Question 93: A dealer does the following deals in EUR/USD: buys EUR 1 m a...; Question 94: You have made a price by a Japanese bank in (SD 2,000,000.00...; Question 95: Cable is quoted at 1.6075-80 and you say "5 yours!" to the b...; Question 96: What is the meaning of CCP within the Basel framework?...; Question 97: Which of the following statements is true?...; Question 98: The buyer of a USD/ARS NDF could be:...; Question 99: A CD with a face value of USD 250,000,000.00 was issued at p...; Question 100: A customer would hedge a currency exposure with a forward FX...; Question 101: Issues relating to the bank's liquidity management are commo...; Question 102: Under Basel III rules the meaning of RSF is:...; Question 103: When quoting the exchange rate between the EUR and AUDI whic...; Question 104: The torward points are calculated from:...; Question 105: The Model Code recommends that standard terms and conditions...; Question 106: Where answer phone equipment is used for reporting and recor...; Question 107: The use of mobile phones within the dealing room is not cons...; Question 108: When performing a gap analysis, into which of the following ...; Question 109: If GSP/USD is quoted to you at 1.61 20-30, how much GSP woul...; Question 110: What is the ISO code for the Lebanon pound?...; Question 111: Which of the following statements about requirements for dea...; Question 112: The outright forward FX rate is not a function of which of t...; Question 113: A customer sells a LIFFE Euro Swiss futures contract. 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Question 142: You buy a 181-day 2.75% CD with a face value of USD 1,500,00...; Question 143: Under what conditions can an FX broker act as a position tak...; Question 144: If EUR/USD is 1.1025-28 and the 6-month swap is 112.50/113, ...; Question 145: The one-month (31-day) GC repo rate for French government bo...; Question 146: How can material divergences between the value of cash and c...; Question 147: A transaction that entails market price risks may be entered...; Question 148: In dealing terminology, what does "my risk" refer to?...; Question 149: Which of the following is issued by auction?...; Question 150: What is the buyers primary risk in a repo?...; Question 151: If there is a need for assistance to help resolve a dispute ...; Question 152: Which of the following risks is best mitigated by CLS?...; Question 153: An option granted by the seller that gives the buyer the rig...; Question 154: What is the correct interpretation of a EUR 5,000,000.00 one...; Question 155: What happens when the issuer of a bond being used as collate...; Question 156: Written confirmation is a function that can be done by:...; Question 157: You hear from several counterparties that a major market par...; Question 158: The delta of an option is:; Question 159: Which of the following statements about requirements for lim...; Question 160: Which of the following currencies is quoted on an ACT/365 ba...; Question 161: The delta of an 'at-the-money' long put option is:...; Question 162: When considering interest rate risk in the banking book, ret...; Question 163: In case of a default on a repo by the seller:...; Question 164: If several banks hit a broker simultaneously for an amount g...; Question 165: A sold JUN 3-month STIR-future should be reported in the gap...; Question 166: When a broker calls "off" at the very instant a dealer "hits...; Question 167: Which of the following will tend to have the lowest yield?...; Question 168: The Liquidity Coverage Ratio imposed by Basel III requires a...; Question 169: A prime broker may not reject a trade given up if:...; Question 170: What does the Model Code say about netting?...; Question 171: The two-week repo rate for the 5.25% Bund 2011 is quoted to ...; 1 commentQuestion 172: The interest earned on a USD 5,000,000.oo money market depos...; Question 173: Cable is quoted at 1.5575-80 and you say "5 yours!" to the b...; Question 174: How much is a big figure worth per million of base currency ...; Question 175: What type of institution is the typical issuer of bank bills...; Question 176: Spot cable is quoted at 1.6048-53 in the brokers and you quo...; Question 177: All other things being equal, if a bank borrows short and le...; Question 178: Under Basel rules, what is the meaning of LGD?...; Question 179: The 180-day CAD/CHF rate is bid 62 and the 90-day CAD/CHF ra...; Question 180: The primary issue for insuring prudent liquidity management ...; Question 181: Under Basel rules the risk weight for MA-rated claims on cor...; Question 182: Today is Monday, 8th December. You sell a 9x12 USD FRA for v...; Question 183: Confirmations must be sent out; Question 184: Which one of the following statements is incorrect under Bas...; Question 185: A 3-month (91-day) UK Treasury bill with a face value of GBP...; Question 186: What is the name of the reference against which most USD and...; Question 187: Which of the following are transferable instruments?...; Question 188: A forward/forward FX swap:; Question 189: Extended trading hours and off-premises dealing can involve ...; Question 190: You are the fixed-rate payer in a plain vanilla interest rat...; Question 191: You have quoted a Swiss customer spot USD/CHF as 0.9273-78, ...; Question 192: Which of the following are all goals of the originator of se...; Question 193: A 3-month (90-day) NZD deposit is 2.75% and 6-month (180-day...; Question 194: Where dealing through an intermediary with an unidentified p...; Question 195: Which of the following statements about operational risk awa...; Question 196: A negative yield curve is one in which:...; Question 197: A fixed rate forward/forward non-deliverable deposit/loan tr...; Question 198: What is the minimum basis on which a BCP should be updated a...; Question 199: From the following GBP deposit rates: 1M (31-day) GBP deposi...; Question 200: Which of the following is true?...; Question 201: What is a master agreement intended to do?...; Question 202: Who typically communicates the bank's asset and liability ma...; Question 203: A 1-month (30-day) USCP with a race value of USD 5 million i...; Question 204: You quote the following rates to a customer spot GBP/CHF 2.2...; Question 205: A forward-forward loan creates an exposure to the risk of:...; Question 206: The major difference between futures and OTC instruments lik...; Question 207: The rho of an option is:; Question 208: Dealers are allowed to trade for their own account only if:...; Question 209: When may a broker assume a deal is closed?...; Question 210: Today is Monday, 8th December. You sell a 9x12 FRA for value...; Question 211: When would an exporter commonly use an NDF?...; Question 212: Which of the following statements is correct?...; Question 213: Which of the following transactions would have the effect of...; Question 214: The major difference between FRAs and futures is that FRAs a...; Question 215: Using the following rates: Spot GBP/CHF 1.4235-55 Spot CHF/S...; Question 216: The term "under reference" refers to:...; Question 217: Under the Model Code, if a broker shouts "done" or "mine" at...; Question 218: What is Funds Transfer Pricing in the ALM process?...; Question 219: Once a prime-broker has matched and accepted a trade, separa...; Question 220: When can a broker consider a deal to be done?...; Question 221: Which one of the following bullion coins has a 999.9/1000 go...; Question 222: What does the Model Code recommend in respect of prices and ...; Question 223: What is an FX swap?; Question 224: Which one of the formulae below is correct?...; Question 225: Convert 8.25% quoted on a semi-annually compounded money mar...; Question 226: The maturity of a straight 3-months deposit falls on Saturda...; Question 227: What does the Model Code advise regarding the taping of tele...; Question 228: If you have created a 'synthetic asset' by buying and sellin...; Question 229: If the issuer of the collateral used in a repo defaults duri...; Question 230: Which one of the following statements about mark-to-model va...; Question 231: The extension of forward FX contracts at their historic rate...; Question 232: Which of the following risks are considered market risks?...; Question 233: If EUR/USD is quoted to you as 1.3030-40 and GBP/USD as 1.53...; Question 234: Which of the following may pay a return as a mix of income a...; Question 235: Click on the Exhibit Button to view the Formula Sheet, If GB...; Question 236: 7-day USCP is quoted at a rate of discount of 1.75%. What is...; Question 237: Under which circumstances are banks allowed to park position...; Question 238: Which of the following statements regarding economic capital...; Question 239: EURIBOR is the:; Question 240: Which of the following is not an officially published settle...; Question 241: A broker offers a dealer an incentive in the form of a reduc...; Question 242: You are quoting forward FX prices to a broker subject to fin...; Question 243: Today is the fixing date for a 6x9 FRA that you sold at 2.55...; Question 244: You have quoted your customer the following eurodollar depos...; Question 245: When is interest conventionally due on a 3-year interbank EU...; Question 246: Lending for 3 months and borrowing for 6 months creates a 3x...; Question 247: Which of the following is not the responsibility of the asse...; Question 248: Which of the following definitions of a nostro account is co...; Question 249: The use of standard settlement instructions (SSI's) is stron...; Question 250: You buy a 181-day 2.75% CD with a face value of USD 1,500,00...; Question 251: What is the policy of the Model Code on drugs, alcohol and o...; Question 252: If spot AUD/USD is quoted to you as 0.7406-09. How many AUD ...; Question 253: Which of the following correctly states the Model Code's rec...; Question 254: Which one of the following statements regarding the variance...; Question 255: An interest rate guarantee (IRG) is:...; Question 256: Mark-to-market' in a repo means:...; Question 257: Any breaches in confidentiality should be:...; Question 258: Which of the following is the best description of a "broken ...; Question 259: Which of the following statements about "standard settlement...; Question 260: Which of the following does the Model Code not recommend to ...; Question 261: Which of the following statements best describes the conditi...; Question 262: The mid-rate for USD/CHF is 1.3950 and the mid-rate for AUD/...; Question 263: What is the risk of dealing through an agent with an unknown...; Question 264: What should be done if a broker fails to conclude a transact...; Question 265: The Interest Rate Parity Theorem states that:...; Question 266: Where repos or securities lending transactions are entered i...; Question 267: What usually happens to the collateral in a tri-party repo?...; Question 268: Bank B's price is shown by a broker to Bank A and is dealt b...; Question 269: In spite of having agreed to a deal, dealers are not bound t...; Question 270: Risk capital is intended to ensure that an institution can:...; Question 271: If a 12-month AUD/NZD swap is quoted 53/47, which of the fol...; Question 272: What is an outright forward FX transaction?...; Question 273: When dealing with a fund manager, who will allocate shares i...; Question 274: A 7-day piece of USCP is quoted at a rate of discount of 1.7...; Question 275: Which of the following does not represent an operational ris...; Question 276: An FRA is:; Question 277: The Model Code recommends that when banks accept a stop-loss...; Question 278: You have quoted a Swiss customer spot USD/CHF as 1.3710-15, ...; Question 279: Three of the following non-EU countries have unilaterally ad...; Question 280: Deliberately inputting incorrect big figures into an electro...; Question 281: How is an outright forward FX transaction quoted?...; Question 282: Which of the following pays a return in the form of a discou...; Question 283: At the end of the day, you are short CHF 3,500,000.00 agains...; Question 284: What kind of information should dealers and brokers take car...; Question 285: In the event that standard settlement instructions are provi...; Question 286: Net funding requirements in liquidity management are determi...; Question 287: You are quoted the following rates: Spot cable 1.5340-43 0/N...; Question 288: When quoting the exchange rate between the USD and AUDI whic...; Question 289: The premium on an option contract is:...; Question 290: A USD deposit traded in London between two German banks is c...; Question 291: Today's date is Thursday 12th December. What is the spot val...; Question 292: You are entering into a swap as a fixed rate receiver with P...; Question 293: You have prepared the following economic capital table for t...; Question 294: Which of the following situations would be most likely to re...; Question 295: For which one of the following disputes is the Chairman and ...; Question 296: Under Basel rules, what is the meaning of IRB?...; Question 297: The Model Code rules that deals at non-current rates:...; Question 298: Assume the following scenario: Bank A bids for EUR 5,000,000...; Question 299: On fixing date, the settlement payment of an NDF reflects th...; Question 300: In trade confirmation, which one of the following statements...; Question 301: Click on the Exhibit Button to view the Formula Sheet. Bank ...; Question 302: What is settlement risk in FX?; Question 303: You deal over the phone with a counterparty. The subsequent ...; Question 304: A dealer has indicated his intention of assigning an interes...; Question 305: What is replacement cost a function of?...; Question 306: To curb attempted fraud, banks should:...; Question 307: You are the buyer of a receiver's swap. All other things bei...; Question 308: All prices quoted by brokers should be taken to be:...; Question 309: Where internet trading facilities are established by a bank ...; Question 310: What is the effect of netting?; Question 311: If you funded your fixed-income investment portfolio with sh...; Question 312: You bought a USD 4,000000 6x9 FRA at 6.75%. 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Your price...; Question 343: What is the major difference between a CD and a deposit?...; Question 344: Which of the following is not true?...; Question 345: What are 1MM dates?; Question 346: Which of the following statements is correct regarding durat...; Question 347: In all dealing conversations, the Model Code strongly recomm...; Question 348: What happens when a coupon is paid on bond collateral during...; Question 349: Which of the following statements is false? The repo legal a...; Question 350: The Model Code's correct recommendation regarding electronic...; Question 351: What does the Model Code say about omitting the "big figure"...; Question 352: What needs to be done in the event that a trade is amended b...; Question 353: What is the Repurchase Price of a classic repo?...; Question 354: Where the Committee for Professionalism of the ACI has been ...; Question 355: Using reprising gap analysis, a bank's balance sheet is cons...; Question 356: What is the London Gold Price Fix (London Gold Fixing)?...; Question 357: The organisational structure of market participants should e...; Question 358: What is meant by "short dates"?...; Question 359: From 2019 on the total capital requirement for banks under B...; Question 360: What is the purpose of a long strangle option strategy?...; Question 361: Where voicemail equipment is used for the reporting and reco...; Question 362: You want to hedge your deposit against falling interest rate...; Question 363: How is a USD Overnight Indexed Swap (OIS) settled?...; Question 364: Making interest rate swap transactions subject to agreement ...; Question 365: Which of the following statements is correct?...; Question 366: How many USD would you have to invest at 3.5% to be repaid U...; Question 367: Which one of the following formulae is correct?...; Question 368: A disgruntled customer claims that he should not have to set...; Question 369: How much is one big figure worth per million of base currenc...; Question 370: Which of the following is sometimes called two-name paper?...; Question 371: Your GBP/CHF rate is 1.3710-15. How many GBP would your cust...; Question 372: When dealing with customers, financial market professionals ...; Question 373: The intrinsic value of a long call option:...; Question 374: Which of the following statements about Credit Default Swaps...; Question 375: You are a sales person in a bank and are about to sell a str...; Question 376: Which of the following would not constitute an event of mark...; Question 377: Dealers should not conduct dealing activities outside the ba...; Question 378: You have bought a 93-day US Treasury bill at 5.63%. What is ...; Question 379: In order to be introduced in a controlled manner, which area...; Question 380: Which of the following are quoted in terms of a discount rat...; Question 381: Is gambling or betting between market participants allowed?...; Question 382: How would you delta hedge a deeply "in-the-money" short put ...; Question 383: Under Basel Securitization rules the highest potential risk ...; Question 384: If you take an 18-month USD deposit, when is interest payabl...; Question 385: When an employee executes a personal trade in advance of a c...; Question 386: Which of the following statements reflects the Model Code on...; Question 387: A bank quotes 3-month EUR deposits at 0.45% ¡ª 0.55% to its ...; Question 388: Brokers shall not reveal the identity of a counterparty unle...; Question 389: You have just sold USD 5,000,000.00 spot against JPY. What t...; Question 390: After having quoted a rate of 1.5005-10, the quoting bank sa...; Question 391: In a dispute between the dealer and a broker, the Model Code...; Question 392: The Model Code stipulates that you have a right to qualify y...; Question 393: You have a USD loan that is priced at 3-month LIBOR+50. LIBO...; Question 394: The process of confirming trades is a function that can be p...; Question 395: What is the principal risk identified by gap management repo...; Question 396: What should a broker do if his quoted price is hit simultane...; Question 397: Where the matter of dealing for personal account is concerne...; Question 398: What does the term "mine" mean when given in response to an ...; Question 399: A customer gives you GBP 25,000,000.00 at 0.625% same day fo...; Question 400: Click on the Exhibit Button to view the Formula Sheet. A 6-m...; Question 401: The two-week repo rate br the 5.25% bund 2007 is quoted to y...; Question 402: How is an outright forward FX transaction quoted?...; Question 403: In a plain vanilla interest rate swap, the "fixed-rate payer...; Question 404: Which of the following statements is correct?...; Question 405: Your are quoted the following rates: spot CHF/JPY 60.12-22 3...; Question 406: What is the incentive for market-making?...; Question 407: Which one of the following statements about claims is true?...; Question 408: The Model Code strongly recommends that intra-day oral deal ...; Question 409: When initially negotiating an interest rate swap, a principa...; 1 commentQuestion 410: You are quoted the following rates: Spot EUR/NOK 7.5250-60 O...; Question 411: You are quoted the following market rates: Spot USD/JPY 123....; Question 412: If EUR/USD is quoted to you as 1.1050-53, does this price re...; Question 413: You have received a gift from a good friend who also happens...; Question 414: An 'at-the-money' call option:; Question 415: What is the day count/annual basis convention for euroyen de...

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