Financial regulation sets parameters to ensure firms comply with standards and level the playing field. Regulations set rules for information disclosure, advantages from private information, new firm entry, minimum capital and governance requirements. Regulators are the governance bodies that ensure compliance with laws, rules and regulations in the industry. They provide oversight to protect clients and enable corporate sustainability. Financial markets and institutions allow efficient flow of funds between those needing funds and those extending funds.
Which of the following is not true about the regulations of the securi.pdfJosephuugPaynet
Which of the following is not true about the regulations of the securities industry? A. is primary
regulator is the Securities and Exchange Commission (SEC) B. The SEC reviews and evaluates
the registrations of new securities offerings: C. Financial industry Regulatory Authority (FINRA)
is involved in day-to-day regulation of trading practices D. The Securities Investor Protection
Corporation (SIPC) protects investors against losses due to poor investment choices: E. This
industry is also overseen at the federal level by the U.S. Congress. Which of the following is not
true about the securities firms? A. They transform the securities issued by the corporations. B.
They serve as brokers intermediating between fund suppliers and users. C. They can specialize in
the purchase, sale, and brokerage of existing securities. D. Size of the industry is measured by
the equity capital of the firms participating in financial services E. Regional securities firms
concentrate on servicing customers in a particular region Which of the following is not an
extremely important role played by the financial institutions to fulfil its main functions? A.
Reducing transaction costs B. Reducing information costs C. Reducing information asymmetry
between households and corporations D. Decreasing efficiency in providing its services E.
Providing economies of scale in providing its services Which of the following is a loan type
made to a business or corporation to provide elther working capital or to finance major capital
expenditures? A. Consumer loans B. Ptivate residential loans C. Commercial residentlal loans D.
Consmercal and induntultal (Cal) loans E. Loan commitmets Which of the following is not a
resson behind the specialness of financial insthutions? A. High monitoring costs for househeids
8. Free-rider preblem in monithoring efferts C. Lack of liquidity and secondary markets D. Price
tink taced by imestors E. Higher job creation by corporations Which of the following is not
another specialness offered by financial institutions? A. The Transmission of Monetary Policy B.
Credit Allocation C. Payment Services D. Intergenerational Wealth Transfor E. Appreving the
newly issued marketable securitios Which of the following is not a direct solution offered by
financial institutions to the liquidity shortage in the linancial markets? A. Financial inntitutions
provide financial or secondary claims to household and other savers B. Claims offered by
financial institutions have superior liquidity attributes compared with these of primary securities.
C. The ability of financial institutions to diversify away some but not all of their portolio riskes
D. Financial institutions hold a portfolio of assots whose rotums are perfectly positively
correlated E. Financial instilutions exploit the law of large numbers in their investrnents,
achieving a significant ansoant of diversilication Which of the following is not correct about the
bank regulations? A. The Office of the Comptrol.
Dear students get fully solved assignments
Send your semester & Specialization name to our mail id :
help.mbaassignments@gmail.com
or
call us at : 08263069601
Which of the following is not true about the regulations of the securi.pdfJosephuugPaynet
Which of the following is not true about the regulations of the securities industry? A. is primary
regulator is the Securities and Exchange Commission (SEC) B. The SEC reviews and evaluates
the registrations of new securities offerings: C. Financial industry Regulatory Authority (FINRA)
is involved in day-to-day regulation of trading practices D. The Securities Investor Protection
Corporation (SIPC) protects investors against losses due to poor investment choices: E. This
industry is also overseen at the federal level by the U.S. Congress. Which of the following is not
true about the securities firms? A. They transform the securities issued by the corporations. B.
They serve as brokers intermediating between fund suppliers and users. C. They can specialize in
the purchase, sale, and brokerage of existing securities. D. Size of the industry is measured by
the equity capital of the firms participating in financial services E. Regional securities firms
concentrate on servicing customers in a particular region Which of the following is not an
extremely important role played by the financial institutions to fulfil its main functions? A.
Reducing transaction costs B. Reducing information costs C. Reducing information asymmetry
between households and corporations D. Decreasing efficiency in providing its services E.
Providing economies of scale in providing its services Which of the following is a loan type
made to a business or corporation to provide elther working capital or to finance major capital
expenditures? A. Consumer loans B. Ptivate residential loans C. Commercial residentlal loans D.
Consmercal and induntultal (Cal) loans E. Loan commitmets Which of the following is not a
resson behind the specialness of financial insthutions? A. High monitoring costs for househeids
8. Free-rider preblem in monithoring efferts C. Lack of liquidity and secondary markets D. Price
tink taced by imestors E. Higher job creation by corporations Which of the following is not
another specialness offered by financial institutions? A. The Transmission of Monetary Policy B.
Credit Allocation C. Payment Services D. Intergenerational Wealth Transfor E. Appreving the
newly issued marketable securitios Which of the following is not a direct solution offered by
financial institutions to the liquidity shortage in the linancial markets? A. Financial inntitutions
provide financial or secondary claims to household and other savers B. Claims offered by
financial institutions have superior liquidity attributes compared with these of primary securities.
C. The ability of financial institutions to diversify away some but not all of their portolio riskes
D. Financial institutions hold a portfolio of assots whose rotums are perfectly positively
correlated E. Financial instilutions exploit the law of large numbers in their investrnents,
achieving a significant ansoant of diversilication Which of the following is not correct about the
bank regulations? A. The Office of the Comptrol.
Dear students get fully solved assignments
Send your semester & Specialization name to our mail id :
help.mbaassignments@gmail.com
or
call us at : 08263069601
For more course tutorials visit
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FIN 366 Final Exam Guide
20 Question
Multiple Choice and True/False Type
1. In current years, the number of commercial banks in the U.S. has been rising.
a. True or False
2. Life insurance agencies also administer personal pension plans which comprise the proposal of guaranteed investment contracts (GICs).
a. True or False
For more course tutorials visit
Uophelp is now newtonhelp.com
www.newtonhelp.com
FIN 366 Final Exam Guide
20 Question
Multiple Choice and True/False Type
1. In current years, the number of commercial banks in the U.S. has been rising.
a. True or False
2. Life insurance agencies also administer personal pension plans which comprise the proposal of guaranteed investment contracts (GICs).
a. True or False
For more classes visit
www.snaptutorial.com
FIN 366 Final Exam Guide
20 Question
Multiple Choice and True/False Type
1. In current years, the number of commercial banks in the U.S. has been rising.
a. True or False
2. Life insurance agencies also administer personal pension plans which comprise the proposal of guaranteed investment contracts (GICs).
a. True or False
choose the correct answer- choose the correct answer- financia instrum.docxLeonardN9WWelchw
Choose a specific skill (NOT one of the categories, but a specific skill)
Which category of Fundamental Movement Skills does your skill fall under. Describe.
How would you assess your chosen skill? Describe whether this assessment is a subjective or objective measure of assessment?
Describe one advantage for this method.
Describe one disadvantage for this method.
.
Securities Crowdfunding for Intermediaries (Series: Crowdfunding)Financial Poise
This webinar addresses crowdfunding portals and intermediaries. This episode begins with a basic overview of the various methods of crowdfunding, from donation and rewards based, to intra-state equity, debt, and finally securities based crowdfunding under Titles II, III and IV of the JOBS Act. Once those differences are understood, the webinar focuses on the need for intermediaries, the role that they can and sometimes must play, followed by a discussion on how the market has matured and where we see the market going in the online capital space. This webinar also discusses the risks and future of these intermediaries with the advent of the ICO and token distribution events.
To view the accompanying webinar, go to: https://www.financialpoise.com/financial-poise-webinars/securities-crowdfunding-for-intermediaries-2021/
CROWDFUNDING 2022 - Securities Crowdfunding for IntermediariesFinancial Poise
This webinar addresses crowdfunding portals and intermediaries. This episode begins with a basic overview of the various methods of crowdfunding, from donation and rewards based, to intra-state equity, debt, and finally securities based crowdfunding under Titles II, III and IV of the JOBS Act. Once those differences are understood, the webinar focuses on the need for intermediaries, the role that they can and sometimes must play, followed by a discussion on how the market has matured and where we see the market going in the online capital space. This webinar also discusses the risks and future of these intermediaries with the advent of the ICO and token distribution events.
Part of the webinar series: Crowdfunding 2022
See more at https://www.financialpoise.com/webinars/
A short presentation about XBRL and credit ratings made at the Workshop on Improving Access to Financial Data on the Web, 5-6 October 2009, Co-organized by W3C and XBRL International, Inc, and hosted by FDIC, Arlington, Virginia USA
http://www.w3.org/2009/03/xbrl/program.html
The general role of financial intermediaries is to- A-Provide advice t.docxellenj4
The general role of financial intermediaries is to:
A.Provide advice to consumers on how they should handle their finances.
B. Help ensure there is enough money in circulation.
C.Provide funds to the federal government to finance a trade deficit.
D. Channel money from savers to those who want to borrow.
Solution
D. Channel money from savers to those who want to borrow.
Explaination:
A financial intermediary is a financial institution that borrows from savers and lend to individuals or firms that need resources for investment. The investments made by financial intermediaries can be in loan and/or securities.
The principle role of financial intermediaries is transforming financial assets that are less desirable for a large part of the public into other financial asset, which is preferred more by the public. This transformation involves at least four economical functions: providing maturity intermediation, risk reduction via diversifications, reducing the costs of contracting and information processing and providing a payment mechanism.
.
The general role of financial intermediaries is to- A-Provide advice t (1).docxellenj4
The general role of financial intermediaries is to:
A.Provide advice to consumers on how they should handle their finances.
B.Help ensure there is enough money in circulation.
C.Provide funds to the federal government to finance a trade deficit.
D.Channel money from savers to those who want to borrow.
Solution
D. Channel money from savers to those who want to borrow.
Explaination:
A financial intermediary is a financial institution that borrows from savers and lend to individuals or firms that need resources for investment. The investments made by financial intermediaries can be in loan and/or securities.
The principle role of financial intermediaries is transforming financial assets that are less desirable for a large part of the public into other financial asset, which is preferred more by the public. This transformation involves at least four economical functions: providing maturity intermediation, risk reduction via diversifications, reducing the costs of contracting and information processing and providing a payment mechanism.
.
For more course tutorials visit
Uophelp is now newtonhelp.com
www.newtonhelp.com
FIN 366 Final Exam Guide
20 Question
Multiple Choice and True/False Type
1. In current years, the number of commercial banks in the U.S. has been rising.
a. True or False
2. Life insurance agencies also administer personal pension plans which comprise the proposal of guaranteed investment contracts (GICs).
a. True or False
For more course tutorials visit
Uophelp is now newtonhelp.com
www.newtonhelp.com
FIN 366 Final Exam Guide
20 Question
Multiple Choice and True/False Type
1. In current years, the number of commercial banks in the U.S. has been rising.
a. True or False
2. Life insurance agencies also administer personal pension plans which comprise the proposal of guaranteed investment contracts (GICs).
a. True or False
For more classes visit
www.snaptutorial.com
FIN 366 Final Exam Guide
20 Question
Multiple Choice and True/False Type
1. In current years, the number of commercial banks in the U.S. has been rising.
a. True or False
2. Life insurance agencies also administer personal pension plans which comprise the proposal of guaranteed investment contracts (GICs).
a. True or False
choose the correct answer- choose the correct answer- financia instrum.docxLeonardN9WWelchw
Choose a specific skill (NOT one of the categories, but a specific skill)
Which category of Fundamental Movement Skills does your skill fall under. Describe.
How would you assess your chosen skill? Describe whether this assessment is a subjective or objective measure of assessment?
Describe one advantage for this method.
Describe one disadvantage for this method.
.
Securities Crowdfunding for Intermediaries (Series: Crowdfunding)Financial Poise
This webinar addresses crowdfunding portals and intermediaries. This episode begins with a basic overview of the various methods of crowdfunding, from donation and rewards based, to intra-state equity, debt, and finally securities based crowdfunding under Titles II, III and IV of the JOBS Act. Once those differences are understood, the webinar focuses on the need for intermediaries, the role that they can and sometimes must play, followed by a discussion on how the market has matured and where we see the market going in the online capital space. This webinar also discusses the risks and future of these intermediaries with the advent of the ICO and token distribution events.
To view the accompanying webinar, go to: https://www.financialpoise.com/financial-poise-webinars/securities-crowdfunding-for-intermediaries-2021/
CROWDFUNDING 2022 - Securities Crowdfunding for IntermediariesFinancial Poise
This webinar addresses crowdfunding portals and intermediaries. This episode begins with a basic overview of the various methods of crowdfunding, from donation and rewards based, to intra-state equity, debt, and finally securities based crowdfunding under Titles II, III and IV of the JOBS Act. Once those differences are understood, the webinar focuses on the need for intermediaries, the role that they can and sometimes must play, followed by a discussion on how the market has matured and where we see the market going in the online capital space. This webinar also discusses the risks and future of these intermediaries with the advent of the ICO and token distribution events.
Part of the webinar series: Crowdfunding 2022
See more at https://www.financialpoise.com/webinars/
A short presentation about XBRL and credit ratings made at the Workshop on Improving Access to Financial Data on the Web, 5-6 October 2009, Co-organized by W3C and XBRL International, Inc, and hosted by FDIC, Arlington, Virginia USA
http://www.w3.org/2009/03/xbrl/program.html
The general role of financial intermediaries is to- A-Provide advice t.docxellenj4
The general role of financial intermediaries is to:
A.Provide advice to consumers on how they should handle their finances.
B. Help ensure there is enough money in circulation.
C.Provide funds to the federal government to finance a trade deficit.
D. Channel money from savers to those who want to borrow.
Solution
D. Channel money from savers to those who want to borrow.
Explaination:
A financial intermediary is a financial institution that borrows from savers and lend to individuals or firms that need resources for investment. The investments made by financial intermediaries can be in loan and/or securities.
The principle role of financial intermediaries is transforming financial assets that are less desirable for a large part of the public into other financial asset, which is preferred more by the public. This transformation involves at least four economical functions: providing maturity intermediation, risk reduction via diversifications, reducing the costs of contracting and information processing and providing a payment mechanism.
.
The general role of financial intermediaries is to- A-Provide advice t (1).docxellenj4
The general role of financial intermediaries is to:
A.Provide advice to consumers on how they should handle their finances.
B.Help ensure there is enough money in circulation.
C.Provide funds to the federal government to finance a trade deficit.
D.Channel money from savers to those who want to borrow.
Solution
D. Channel money from savers to those who want to borrow.
Explaination:
A financial intermediary is a financial institution that borrows from savers and lend to individuals or firms that need resources for investment. The investments made by financial intermediaries can be in loan and/or securities.
The principle role of financial intermediaries is transforming financial assets that are less desirable for a large part of the public into other financial asset, which is preferred more by the public. This transformation involves at least four economical functions: providing maturity intermediation, risk reduction via diversifications, reducing the costs of contracting and information processing and providing a payment mechanism.
.
Acetabularia Information For Class 9 .docxvaibhavrinwa19
Acetabularia acetabulum is a single-celled green alga that in its vegetative state is morphologically differentiated into a basal rhizoid and an axially elongated stalk, which bears whorls of branching hairs. The single diploid nucleus resides in the rhizoid.
Operation “Blue Star” is the only event in the history of Independent India where the state went into war with its own people. Even after about 40 years it is not clear if it was culmination of states anger over people of the region, a political game of power or start of dictatorial chapter in the democratic setup.
The people of Punjab felt alienated from main stream due to denial of their just demands during a long democratic struggle since independence. As it happen all over the word, it led to militant struggle with great loss of lives of military, police and civilian personnel. Killing of Indira Gandhi and massacre of innocent Sikhs in Delhi and other India cities was also associated with this movement.
Introduction to AI for Nonprofits with Tapp NetworkTechSoup
Dive into the world of AI! Experts Jon Hill and Tareq Monaur will guide you through AI's role in enhancing nonprofit websites and basic marketing strategies, making it easy to understand and apply.
The French Revolution, which began in 1789, was a period of radical social and political upheaval in France. It marked the decline of absolute monarchies, the rise of secular and democratic republics, and the eventual rise of Napoleon Bonaparte. This revolutionary period is crucial in understanding the transition from feudalism to modernity in Europe.
For more information, visit-www.vavaclasses.com
Francesca Gottschalk - How can education support child empowerment.pptxEduSkills OECD
Francesca Gottschalk from the OECD’s Centre for Educational Research and Innovation presents at the Ask an Expert Webinar: How can education support child empowerment?
June 3, 2024 Anti-Semitism Letter Sent to MIT President Kornbluth and MIT Cor...Levi Shapiro
Letter from the Congress of the United States regarding Anti-Semitism sent June 3rd to MIT President Sally Kornbluth, MIT Corp Chair, Mark Gorenberg
Dear Dr. Kornbluth and Mr. Gorenberg,
The US House of Representatives is deeply concerned by ongoing and pervasive acts of antisemitic
harassment and intimidation at the Massachusetts Institute of Technology (MIT). Failing to act decisively to ensure a safe learning environment for all students would be a grave dereliction of your responsibilities as President of MIT and Chair of the MIT Corporation.
This Congress will not stand idly by and allow an environment hostile to Jewish students to persist. The House believes that your institution is in violation of Title VI of the Civil Rights Act, and the inability or
unwillingness to rectify this violation through action requires accountability.
Postsecondary education is a unique opportunity for students to learn and have their ideas and beliefs challenged. However, universities receiving hundreds of millions of federal funds annually have denied
students that opportunity and have been hijacked to become venues for the promotion of terrorism, antisemitic harassment and intimidation, unlawful encampments, and in some cases, assaults and riots.
The House of Representatives will not countenance the use of federal funds to indoctrinate students into hateful, antisemitic, anti-American supporters of terrorism. Investigations into campus antisemitism by the Committee on Education and the Workforce and the Committee on Ways and Means have been expanded into a Congress-wide probe across all relevant jurisdictions to address this national crisis. The undersigned Committees will conduct oversight into the use of federal funds at MIT and its learning environment under authorities granted to each Committee.
• The Committee on Education and the Workforce has been investigating your institution since December 7, 2023. The Committee has broad jurisdiction over postsecondary education, including its compliance with Title VI of the Civil Rights Act, campus safety concerns over disruptions to the learning environment, and the awarding of federal student aid under the Higher Education Act.
• The Committee on Oversight and Accountability is investigating the sources of funding and other support flowing to groups espousing pro-Hamas propaganda and engaged in antisemitic harassment and intimidation of students. The Committee on Oversight and Accountability is the principal oversight committee of the US House of Representatives and has broad authority to investigate “any matter” at “any time” under House Rule X.
• The Committee on Ways and Means has been investigating several universities since November 15, 2023, when the Committee held a hearing entitled From Ivory Towers to Dark Corners: Investigating the Nexus Between Antisemitism, Tax-Exempt Universities, and Terror Financing. The Committee followed the hearing with letters to those institutions on January 10, 202
Honest Reviews of Tim Han LMA Course Program.pptxtimhan337
Personal development courses are widely available today, with each one promising life-changing outcomes. Tim Han’s Life Mastery Achievers (LMA) Course has drawn a lot of interest. In addition to offering my frank assessment of Success Insider’s LMA Course, this piece examines the course’s effects via a variety of Tim Han LMA course reviews and Success Insider comments.
BÀI TẬP BỔ TRỢ TIẾNG ANH GLOBAL SUCCESS LỚP 3 - CẢ NĂM (CÓ FILE NGHE VÀ ĐÁP Á...
Review for FinMar.pdf
1. 12/1/22, 10:55 PM Review for FinMar
https://quizizz.com/print/quiz/63885f71ce55ff001ec6a824 1/10
Review for FinMar
47 Questions
NAME :
CLASS :
DATE :
1. One of the elements of Financial System whih are characterized as players in the system
that have excess or willing to invest their funds in the system with the intent of earning
more out of these funds.
A Financial Intermediaries B Supplier of Funds
C Demanders of Funds D Regulatory Agency
2. They are arrangers of transactions between suppliers and demanders of funds. They act as
a middleman or conduit between the parties with the aim to perfect the exchange
A Financial Intermediaries B Financial Market
C Financial Instrument D Financial Institution
3. Policies were imposed to the financial system to ensure parity among parties which could
drive the following: Access to capital, credit and loan term offerings, support to providers of
financing, management of business risks, transaction costs and tariffs.
A Competitiveness B Consistency
C Stability D Market Behavior
4. Finance came from a ______ word which means settlement of debt
A Greek B Latin
C French
5. Regulators are the governance body that ensures that all complies with the rules, laws, and
regulations imposed to them.
A True B False
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6. STATEMENT 1: In the financial market, the impact of financial risk is something the
regulatory environment should consider.
STATEMENT 2: The regulation must be able to protect the interest of the clients as well as
the companies to enable their corporate sustainability.
A Only statement 2 is true B Only statement 1 is true
C Both statements are true D Both statements are false
7. If the instrument used to trade in the financial market are issued first-hand or original
issuance, these are called Primary Market. If the instrument is traded one time, the player is
now called Secondary Market
A True B False
8. It is the probability that new laws, rules and regulations will be imposed and might affect the
ability to sustain its creditworthiness
A Credit Risk B Legal Risk
C Default Risk D Liquidity Risk
E Technological Risk
9. It is the probability to raise sufficient resources to repay its financial obligation
A Credit Risk B Technological Risk
C Legal Risk D Default Risk
E Liquidity Risk
10. Domestic Market and International or Foreign Market are Financial Markets classified under
A Instruments Traded B All of the above
C Origination D Market Type
E None of the above
11. Stock Markets and Bond Markets are equity or debt instruments traded in the Capital
Market and matures in
A Two years at most B Short term period
C Long term Period D One year or less
2. 12/1/22, 10:55 PM Review for FinMar
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12. It allows the flow of funds to those who need it and those willing to extend or invest.
A Financial Market B Financial System
C Finance D Financial Institution
13. According to ______, Regulation is a process whereby the designated government authority
provides oversight and establishes rules for firms in an industry.
A Public Utility Research Center B Public Utility Research Institute
C Private Utility Research Center D Private Utility Research Institute
14. Financial Institutions may be generally classified into:
A Commercial banks B None of the above
C All of the above D Universal Banks
E Investment Banks
15. BSP, through its _______ _____, issues policies and guidelines where the players in the
financial systems must comply.
A Investment Board B Leader Board
C Regulatory Board D Monetary Board
16. The major financial regulator in the Philippines is
A Bangko Sentral ng Pilipinas B Board of Investment
C Securities and Exchange Commission D Investment Commission
17. It enables transfer of funds from a party to another thereby affecting settlement
A Finance B Payment System
C Financial Intermediaries D Financial System
18. _____ are those who are trading short term financial instruments that are legally traded.
A Bond Market B Stock Market
C Capital Market D Money Market
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19. It is the probability that services will be interrupted due to technological resource limitation.
A Credit Risk B Technological Risk
C Liquidity Risk D Default Risk
E Legal Risk
20. Financial Regulation sets the parameters to ensure that firms will comply with the standards
and level the playing field. The policies were set to regulate the information disclosure,
advantage over internal information, entry of new players, minimum capital requirement
and minimum governance requirement.
A Stability B Market Behavior
C Competitiveness D Consistency
21. It is the governance body to ensure compliance to laws, rules and regulation and is
identified to provide oversight to the players in the industry.
A Regulatory Agency B Regulation
C Regulators D Financial Regulation
22. "Financial System is a set of arrangements or conventions embracing the lending and
borrowing of funds by non-financial economic units and the intermediation of this function
by financial intermediaries in order to facilitate the transfer of funds, to create additional
money, and to create markets in debt and equity instruments (and their derivatives) so that
the price and allocation of funds are determined efficiently"
A Dr. Faire (2015) B Dr. Faure (2013)
C Dr. Faire (2013) D Dr. Faure (2015)
23. Given that market behavior is dependent on a lot of factors, the risk is very high. Most of the
players failed to survive because of their inability to forecast and to mitigate the risk.
A Stability B Market Behavior
C Competitiveness D Consistency
24. The key financial regulators in the Philippines are
A Bangko Sentral ng Pilipinas B
Philippine Securities and Exchange
Commissions
C Board of Investments D Insurance Commissions
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25. In _____ trade of private placement, these are normally issuance of stocks to pre-selected
investors
A Preferred B Secret
C Equity D Private
26. The Philippine Central Bank which is a self-regulating agency attached to the Department of
Finance which is generally focused on
A All of the above B Regulating the liquidity management
C Currency reserves and exchange rate D Currency Issues
E None of the above
27. Which of the following is false about Financial Intermediaries
A They have their own funds B None of the above
C
They may be financial institutions,
financial markets or private placement
D All of the above
E They act as channels of transmitting funds
28. These are intermediaries with a particular, private or specific individual or entity where the
supply and demand of funds will be taken.
A Capital Market B Private Placement
C Financial Institution D Financial Market
29. It is a venue where the demanders and suppliers of funds meet
A Financial Market B Financial System
C Financial Institution D Financial Intermediaries
30. They are entities that aims to collect or gather funds from suppliers and in return extend
this to the demanders of fund normally in the form of loans or any interest bearing
instruments.
A Financial Intermediaries B Financial Institutions
C Private Placements D Financial Market
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31. The value in the Financial Instrument may be
A None of the above B Already determines
C Agreed by the parties D Both a and b
32. Financial System is a set of arrangements or conventions embracing the lending and
borrowing of funds by non-financial economic units and the intermediation of this function
by financial intermediaries in order to:
A Create additional money when required B Facilitate the transfer of funds
C
Create markets in debt and equity
instruments
33. The importance of payment systems is/are:
A Facilitates financial market transactions B All of the above
C Effective risk management D Managing safe and real time transactions
E None of the above
34. Which of the following sentence does not define "Finance"
A
It allows the flow of funds to those who
need it and those willing to extend or
invest.
B
It is a financial system that provides the
platform by which funds are transferred
from those entities that needs funds to
invest.
C
It is the application of economic principles
to deision-making that involves the
allocation of money under conditions of
unertainty.
D
It provides for the framework for making
decisions as to how those funds should be
obtained and then invested.
35. Financial Regulation is
A Both a and b B
A type of regulation that imposes
standards and policies to set controls over
the market factors that will affect the
financial sustainability
C None of the above D
Ensures that the risks are managed and all
parties in the financial system are
protected
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36. Policies were imposed to the financial system to ensure parity among parties which could
drive the following
A Credit and loan term offerings B Transaction Costs and Tariffs
C Management of business risks D Access to Capital
E Support to providers of financing
37. It is the probability that currently maturing portion were not settled on time.
A Legal Risk B Technological Risk
C Default Risk D Liquidity Risk
E Credit Risk
38. They allow for the acceleration of the flow of funds between entities or players, efficiently
allocating funds or creation of money and supports price disovery.
A Financial Market B Financial Institution
C Financial Intermediaries D Private Placement
39. These are created to enforce financial regulations
A None of the above B Rules
C Regulations D Laws
40. The reason why in the field of accountancy ______ is an important principle is that it enables
the development of reasonable decisions. ______ plays a key attribute to ensure that the
other drivers affecting the results were isolated for better analysis and at the same time
reducing the risk of inherent in the results.
A Market Behavior B Competitiveness
C Stability D Consistency
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41. These are traded in the Money Market:
I. Treasury Bills
II. Certificates of Deposit
III. Commercial Papers
IV. Treasury Bond
V. Treasury Note
VI. Repurchase Agreements
VII. Banker's Acceptance
A I, II, IV, V only B I, II, III, IV, VI, VII only
C I, II, III, IV, V, VI, VII D I, II, III, VI, VII
42. Financial Markets are classified into:
I. Instruments Traded
II. Market Type
III. Origination
A I, II, III B I and III only
C I only D I and II only
43. They set the framework and boundaries to protect the interest of the players in the system
A Regulatory Agency B Board of Regulatory Ageny
C Regulators D Regulation
44. It is the process of governing in the financial systems to ensure balance and protection of
interest of all players in the systems. By doing so, this manages the risk that will potentially
arise in the financial market system.
A Financial Regulation B Regulation
C Regulatory Agency D Regulators
45. It is the probability that the payor will not pay or settle its obligation.
A Default Risk B Credit Risk
C Legal Risk D Technological Risk
E Liquidity Risk
46. These are documents or representation for exchange
A Financial Institution B Financial Market
C Financial Instruments D Finance
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47. Which of the following is not a definition of demanders of funds
A
Those who are willing to do actions to
earn more but restricted with financial
resources.
B All of the above
C
Those who are in need of additional
financing to sustain their livelihood for
domestic
D
The individuals or groups that need
financing
E None of the above
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Answer Key
1.b 2.b 3.a 4.c
5.a 6.c 7.b 8.b
9.e 10.c 11.c 12.b
13.a 14.c 15.d 16.a
17.b 18.d 19.b 20.b
21.a 22.b 23.a 24.
25.c 26.a 27.a 28.b
29.a 30.b 31.d 32.
33.b 34.a 35.a 36.
37.c 38.c 39.d 40.d
41.d 42.a 43.c 44.a
45.b 46.c 47.e