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Free 3I0-012 Exam Braindumps
3I0-012 ACI Dealing Certificate Questions 326–330 (page: 67)

Updated On: 9-Feb-2026
Page 67 of 149
PDF with 740 Questions

For which one of the following disputes is the Chairman and members of the ACI’s CFP ready to assist through the ACI’s Expert Determination?

  1. all legal disputes
  2. disputes related to market practice or conduct as set out in the Model Code or in any other Code of Conduct
  3. disputes between two market participants, at least one of them being a member of ACI
  4. disputes related to over-the-counter financial instruments as detailed in appendix four of the Model Code

Answer(s): D



Which one of the following statements about claims is true?

  1. Claims are not expected to be submitted after 15 days from the actual settlement date.
  2. Claims of less than USD 5,000.00 are not expected to be submitted.
  3. Claims are calculated on the full principal amount of the failed transaction. Interest rates are imposed by the agent banks, unless a higher negotiated rate is to be applied.
  4. Acknowledgement of receipt of a claim should be confirmed within 48 hours by email or SWIFT.

Answer(s): C



What should be done if a broker fails to conclude a transaction at the quoted price and the dealer has to accept a lesser quote to neutralize his risk?

  1. ‘stuff’ the broker and insist on a replacement name at the original price
  2. accept a bank transfer compensation payment in favour of the bank or adjustment to brokerage bills
  3. refuse any sort of compensation from the broker for the amount concerned
  4. acknowledge the excuses of the broker and accept his offer of entertainment in compensation for the failed transaction

Answer(s): B



Which of the following is the best description of a “broken trade”?

  1. when a trade has been agreed to with dates (maturities) different from the standard dates
  2. when one of the parties to the deal unilaterally decides to withdraw from the on-going transaction
  3. when, due to a system break, one or both parties to the deal chooses to withdraw from the ongoing transaction
  4. when, due to a system break, one or both parties to the deal are unclear as to whether the deal has been done

Answer(s): D



What is the policy of the Model Code on drugs, alcohol and other substance abuse in the dealing room?

  1. Management is to proximately inform the local regulator of any suspected drug abuse in either the front office or operations department.
  2. The chief dealer must inform the ACI’s Committee for Professionalism as soon as he suspects any drug or alcohol abuse in his dealing room.
  3. Policies should be developed and clearly announced, including penalties for individuals who are found to be substance abusers.
  4. Management should take all reasonable steps to stop the abuse of drugs, including alcohol and other substances.

Answer(s): C



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