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Free 3I0-012 Exam Braindumps
3I0-012 ACI Dealing Certificate Questions 321–325 (page: 66)

Updated On: 9-Feb-2026
Page 66 of 149
PDF with 740 Questions

Which of the following statements is correct?

  1. The best strategy to treat and mitigate risk is avoiding the risk by avoiding the business
  2. The best strategy to treat and mitigate risk is transferring the risk to another party, e. g. by transfer to an insurance company
  3. The best strategy to treat and mitigate risk is to establish the appropriate processes for identifying, assessing, managing, monitoring and reporting risks
  4. The best strategy to treat and mitigate risk is to reduce the negative effect of the risk, e. g. by hedging

Answer(s): C



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?

  1. Sales I trading staff
  2. Operations staff
  3. Nostro staff
  4. Front office staff

Answer(s): B



Which of the following statements about operational risk awareness is correct?

  1. It is good practice to collect and disclose incidents and near-misses for the future benefit of the professional community.
  2. It is good practice to collect and analyze incidents and near-misses so as to set up preventive action plans for the future.
  3. A report describing operational risks should be made at the request of the front office.
  4. A report describing operational risks should be made at least once a year and provided to the front office.

Answer(s): B



What is the expression used to describe a genuine error (wrong amount, wrong side, wrong rate) made by a dealer in the execution of an order on an electronic platform?

  1. mis-stroke
  2. slip-bid
  3. mis-hit
  4. broken trade

Answer(s): C



The Model Code recommends that standard terms and conditions be used in legal documents. Which one of the following statements is correct?

  1. When trading in financial products described by the Model Code, dealers and voice brokers need not clarify whether they propose to use standard terms.
  2. Standard terms and conditions should be signed bilaterally by senior management of both principals before any applicable market transactions are entered into.
  3. When using legal agreements any proposed modifications or choices offered in the agreement must be clearly stated as soon as the trade is agreed.
  4. For many instruments, standard master agreements issued by recognized authorities need not be signed by senior management of the principals intending to transact business.

Answer(s): B



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