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6. Markets where new financial instruments are sold for the first tome from companies

  • Primary markets
  • secondary markets

7. In UAE the regulator for insurance companies

  • central banks
  • SCE
  • each bank on its own

8. ratings below ( ) are high risk in credit risk

  • BB
  • A
  • BBB
  • B

9. operational risk are mitigated through application of internal controls

  • True
  • False

10. segregation of duties is a good control for fraud

  • yes
  • no

11. Treasury department of bank responsible for liquidity management

  • false
  • true

12. risk managed by treasury department

  • operational risk
  • operational risk
  • market risk
  • credit risk

13. risk is transferred through purchase of insurance products

  • True
  • false

14. what is a credit risk mitigant

  • single borrower limit
  • all of the above
  • loan interest rate
  • credit policy
  • portofolio diversification

15. In UAE the regulator for securities markets

  • SEC
  • SCA
  • SCE

16. equity risk is risk associated with

  • stock prices
  • currencies

17. who opts for settlement and reconciliation ?

  • back office
  • front office
  • mid office

18. foreign exchange risk associated with

  • currencies
  • bonds
  • stock prices

19. Money markets instruments have maturities less than ___ years

  • 1 Y
  • 6 M
  • 4 Y
  • 2 Y

20. Treasury department of bank responsible for liquidity management

  • true
  • false