support@Free-Braindumps.com
Register Login
Cisco
CompTIA
ISC
EC-Council
EXIN
Fortinet
ITIL
Juniper
Microsoft
VMware
Avaya
SAP
Google
NVIDIA
Salesforce
Amazon
Palo Alto Networks
ISC2
CrowdStrike
Anthropic
All Vendors
  1. Home
  2. Exams
  3. ACI
  4. 3I0-012

Free 3I0-012 Exam Braindumps
3I0-012 ACI Dealing Certificate Questions 331–335 (page: 68)

Updated On: 9-Feb-2026
Page 68 of 149
PDF with 740 Questions

Which of the following statements is true? The repo legal agreement between the two parties concerned should:

  1. detail the rights of counterparties regarding the substitution of collateral
  2. include named securities permitted to be traded
  3. be bi-laterally signed by both dealers involved in any transaction
  4. need not be in place before any deals are executed or finalized

Answer(s): A



Principals who enter into an interest rate swap with the intention of shortly afterwards assigning or transferring the swap to a third party:

  1. should never reveal their future dealing intentions to their counterparties
  2. should make clear their intention to do so when initially negotiating the deal
  3. should agree upon the method of assignment before transacting
  4. should only reveal any such intentions after the confirmations have been exchanged

Answer(s): B



A bank quotes 3-month EUR deposits at 0.45% ¡ª 0.55% to its broker. The broker lifts the bank’s offer at 0.55%. Which of the following steps must the broker take?

  1. The broker must show the borrower’s name to the lender first and disclose the lender’s name only if the borrower is acceptable to the lender.
  2. The broker must show the lender’s name to the borrower first and disclose the borrower’s name only if the lender is acceptable to the borrower.
  3. The broker must show the borrower’s and lender’s names to each other at the same time.
  4. For marketing reasons, the broker can show the lender’s name to the borrower at any time.

Answer(s): A



Where dealing for personal account is allowed, what safeguards to prevent abuse or insider dealing are stated by the Model Code?

  1. The need to maintain confidentiality with respect to non-public price sensitive information
  2. The maximum amounts or sizes of trades dealers are allowed to trade for their own account
  3. The instruments/products dealers can trade for their own account
  4. The pledge that no action is taken by employees that might adversely affect the interests of clients or counterparties

Answer(s): B



Principals are allowed to:

  1. visit a broker’s dealing room to arrange or confirm deals
  2. visit a broker’s dealing room with the permission of the management of both parties
  3. deal from within a broker’s dealing room with the permission of the broker’s management
  4. place an order with a broker from within the same broker’s office

Answer(s): B



  PDF
Viewing page 68 of 149
Viewing questions 336 - 340 out of 740 questions


Post your Comments and Discuss ACI 3I0-012 exam prep with other Community members:

AI Tutor AI Tutor 👋 I’m here to help!