Chapter 5 - IT CISI

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1. Why was the LEI standard created?

  • To understand and monitor systematic risk
  • To understand and monitor IT risk
  • To understand and monitor credit risk
  • To understand and monitor market risk
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2. What is the most common method for calculating interest on currencies?

  • Actual/Actual
  • 30/360
  • Actual/360
  • Actual / 365

3. What is the code for a "short security description" used in the stock exchange trading systems in US and Canada, and used by Bloomberg?

  • Ticker
  • CUSIP
  • ISIN
  • RIC

4. What are Transaction Reports used for by the FCA?

  • To identify compliance breach
  • To identify market abuse
  • To identify credit risk
  • To identify market risk

5. A "durable medium" is defined by the UK regulator as what?

  • Paper and internet websites
  • Paper / any instrument allowing to store information EXCEPT internet websites
  • Paper only
  • Paper / any instrument allowing to store information INCLUDING internet websites
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