821 お客様のコメント
質問 1：
Click on the Exhibit Button to view the Formula Sheet. A CD with a face value of USD 250 million was issued at par with a coupon of 5% for 91 days. You buy it in the secondary market when it has 30 days remaining to maturity and is trading at 5.25%. How much do you pay?
A. USD 252,056,972.97
B. USD 252,028,916.32
C. USD 250,000,000.00
D. USD 248,911,014.31
正解：A
質問 2：
Click on the Exhibit Button to view the Formula Sheet. When dealing with a fund manager, who will allocate shares in a transaction to his unknown clients after the transaction has been executed with you, you should:
A. Insist on the allocation being made and confirmed before the transaction is executed.
B. Agree in writing with the fund manager that he will guarantee the transaction until the allocation is confirmed.
C. Any of the above.
D. Agree in writing with the fund manager that the allocation will be confirmed as soon as practicable after the transaction is executed.
正解：D
質問 3：
Click on the Exhibit Button to view the Formula Sheet. What is the ISO code for the currency of Hungary?
A. HUF
B. HUG
C. HKD
D. HRN
正解：A
質問 4：
Click on the Exhibit Button to view the Formula Sheet. A customer sells a LIFFE Euro Swiss futures contract. Which of the following risks could he be trying to hedge?
A. Rising CHF interest rates
B. Falling CHF interest rates
C. An increase in forward USD/CHF
D. A decrease in forward USD/CHF
正解：A
質問 5：
Click on the Exhibit Button to view the Formula Sheet. The Model Code recommends that, in the case of complaints about transactions, management should:
A. Ensure complaints are investigated by the senior management of a firm not involved in the disputed transaction.
B. Ensure complaints are investigated by representatives of a broking firm not directly involved in the disputed transaction and selected by both parties to the dispute.
C. Ensure complaints are fairly and independently investigated, in the first instance, by the ACIs Committee for Professionalism.
D. Ensure complaints are fairly and independently investigated, whenever practicable, by staff not directly involved in the disputed transaction.
正解：D
質問 6：
Click on the Exhibit Button to view the Formula Sheet. If a dealer has any intention of assigning an interest rate swap to a third party soon after transacting that swap:
A. The dealer should agree the method of assignment before transacting.
B. The dealer should make his intention to assign clear before transacting.
C. The counterparty should specify whether or not assignment would be acceptable in negotiations.
D. The dealer should not reveal his future dealing intentions to his counterparty.
正解：B
Click on the Exhibit Button to view the Formula Sheet. A CD with a face value of USD 250 million was issued at par with a coupon of 5% for 91 days. You buy it in the secondary market when it has 30 days remaining to maturity and is trading at 5.25%. How much do you pay?
A. USD 252,056,972.97
B. USD 252,028,916.32
C. USD 250,000,000.00
D. USD 248,911,014.31
正解：A
質問 2：
Click on the Exhibit Button to view the Formula Sheet. When dealing with a fund manager, who will allocate shares in a transaction to his unknown clients after the transaction has been executed with you, you should:
A. Insist on the allocation being made and confirmed before the transaction is executed.
B. Agree in writing with the fund manager that he will guarantee the transaction until the allocation is confirmed.
C. Any of the above.
D. Agree in writing with the fund manager that the allocation will be confirmed as soon as practicable after the transaction is executed.
正解：D
質問 3：
Click on the Exhibit Button to view the Formula Sheet. What is the ISO code for the currency of Hungary?
A. HUF
B. HUG
C. HKD
D. HRN
正解：A
質問 4：
Click on the Exhibit Button to view the Formula Sheet. A customer sells a LIFFE Euro Swiss futures contract. Which of the following risks could he be trying to hedge?
A. Rising CHF interest rates
B. Falling CHF interest rates
C. An increase in forward USD/CHF
D. A decrease in forward USD/CHF
正解：A
質問 5：
Click on the Exhibit Button to view the Formula Sheet. The Model Code recommends that, in the case of complaints about transactions, management should:
A. Ensure complaints are investigated by the senior management of a firm not involved in the disputed transaction.
B. Ensure complaints are investigated by representatives of a broking firm not directly involved in the disputed transaction and selected by both parties to the dispute.
C. Ensure complaints are fairly and independently investigated, in the first instance, by the ACIs Committee for Professionalism.
D. Ensure complaints are fairly and independently investigated, whenever practicable, by staff not directly involved in the disputed transaction.
正解：D
質問 6：
Click on the Exhibit Button to view the Formula Sheet. If a dealer has any intention of assigning an interest rate swap to a third party soon after transacting that swap:
A. The dealer should agree the method of assignment before transacting.
B. The dealer should make his intention to assign clear before transacting.
C. The counterparty should specify whether or not assignment would be acceptable in negotiations.
D. The dealer should not reveal his future dealing intentions to his counterparty.
正解：B
若*舞 -
また機会があれば、宜しくお願い致します。やったー！暗記が苦手な私にとって、勉強はちょっと大変だと思います。