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質問 1：
Issues relating to the bank's liquidity management are commonly discussed in:
A. the Federal Open Market Committee
B. the Asset Liability Management Committee (ALCO)
C. the Financial Resources and Compensation Committee
D. the Credit Committee
正解：B
質問 2：
By what means should a financial institution preferably submit SSI changes and notifications to its clients?
A. fax or letter
B. MTn99 SWIFT message
C. MT670/671 SWIFT message
D. e-mail
正解：C
質問 3：
Brokers shall not reveal the identity of a counterparty unless:
A. They know the counterparty very well.
B. They are forced to do so.
C. Explicitly authorised to do so by the counterparty.
D. They are asked by their senior management to do so.
正解：C
質問 4：
7-day USCP is quoted at a rate of discount of 1.75%. What is its true yield?
A. 1.73%
B. 1.77%
C. 1.75%
D. 1.80%
正解：C
質問 5：
The extension of forward FX contracts at their historic rates is only allowed when:
A. They are executed within six months.
B. Prior management approval has been sought.
C. All of the above.
D. They are extended for not more than one year.
正解：B
質問 6：
Under Basel III the Credit Value Adjustment will apply to:
A. bilaterally cleared ABS trades only
B. exchange traded derivatives only
C. bilaterally settled OTC derivatives trades
D. derivatives cleared via a CCP
正解：C
質問 7：
ACI's Committee for Professionalism will offer expert opinion in disputes between firms if:
A. one of the counterparties requests the assistance of ACI's Committee for Professionalism
B. both parties to the dispute are members of the ACI and agree to submit the dispute to the ACI
C. the amount in dispute is more than USD 100,000.00 or equivalent
D. the two counterparties are located in different financial centers
正解：A
Issues relating to the bank's liquidity management are commonly discussed in:
A. the Federal Open Market Committee
B. the Asset Liability Management Committee (ALCO)
C. the Financial Resources and Compensation Committee
D. the Credit Committee
正解：B
質問 2：
By what means should a financial institution preferably submit SSI changes and notifications to its clients?
A. fax or letter
B. MTn99 SWIFT message
C. MT670/671 SWIFT message
D. e-mail
正解：C
質問 3：
Brokers shall not reveal the identity of a counterparty unless:
A. They know the counterparty very well.
B. They are forced to do so.
C. Explicitly authorised to do so by the counterparty.
D. They are asked by their senior management to do so.
正解：C
質問 4：
7-day USCP is quoted at a rate of discount of 1.75%. What is its true yield?
A. 1.73%
B. 1.77%
C. 1.75%
D. 1.80%
正解：C
質問 5：
The extension of forward FX contracts at their historic rates is only allowed when:
A. They are executed within six months.
B. Prior management approval has been sought.
C. All of the above.
D. They are extended for not more than one year.
正解：B
質問 6：
Under Basel III the Credit Value Adjustment will apply to:
A. bilaterally cleared ABS trades only
B. exchange traded derivatives only
C. bilaterally settled OTC derivatives trades
D. derivatives cleared via a CCP
正解：C
質問 7：
ACI's Committee for Professionalism will offer expert opinion in disputes between firms if:
A. one of the counterparties requests the assistance of ACI's Committee for Professionalism
B. both parties to the dispute are members of the ACI and agree to submit the dispute to the ACI
C. the amount in dispute is more than USD 100,000.00 or equivalent
D. the two counterparties are located in different financial centers
正解：A
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