8009試験無料問題集（112題）「PRMIA Exam IV: Case Studies: Standards: Governance, Best Practices and Ethics

出題：1

Barings failed to recognize that Nick Leeson's losses were increasing because:

A. Leeson hid his trades in a suspense account

B. Leeson ran the front office

C. The margin report sent to London did not show the true margin needs

D. The London office did not ask for any reports

正解：A 解答を投票する

出題：2

Which of the following was NOT a factor in the WorldCom collapse?

A. Unfair pricing to customers

B. Accounting abuses

C. Over stating actual sales

D. Failed corporate governance

正解：A 解答を投票する

出題：3

Select the one correct statement relative to Barings Bank.

A. Proprietary and agency trading were combined and therefore did not increase risk.

B. Proprietary and agency trading were separate and therefore did not increase risk.

C. Proprietary and agency trading were separate and did increase risk.

D. Proprietary and agency trading were combined and therefore did increase risk.

正解：D 解答を投票する

出題：4

The Risk Management Infrastructure of an organization must:
I. To the extent possible, avoid silos of control and oversight
II. Have budgets set by the business unit leaders
III. Actively provide ongoing professional development for risk management staff and require them to be committed to standards of best practice, conduct and ethics in their work IV. Provide general risk management and related corporate governance training for employees of the organization as a Whole

A. All of these are expected of the Risk Management Infrastructure

B. I and III only

C. I, III and IV only

D. I only

正解：C 解答を投票する

出題：5

According to the Group of 30 Report, option contracts:

A. Always generate credit risk to both counterparties

B. Create credit risk only for the buyer (due to default by the seller) provided the premium is due, and paid, at contract initiation

C. Usually create credit risk only for the seller (to default by the buyer)

D. Create no credit risk, since the buyer need not exercise the option

正解：B 解答を投票する

出題：6

John Smith wants to run for election to the Board of Directors of PRMIA. To be nominated, he needs:

A. The backing of 6% of local members

B. The backing of three other members

C. To go through a screening process conducted by the Nominations Committee

D. The backing of five other members and to be serving on at least one PRMIA Committee

正解：B 解答を投票する

出題：7

According to the G-30 Study, the risk management infrastructure's funding must be

A. determined at the Board level with inputs from business unit leaders

B. determined by the regulators

C. determined at the Board level without influence by business unit leaders

D. determined by business-unit leaders

正解：C 解答を投票する

出題：8

Corporate Governance ...

A. Is defined as business decision making predicated on a belief in potential rewards, balanced with the knowledge, understanding and appreciation of the risk taken to pursue those potential rewards

B. Is defined as that which is best practiced within an enterprise risk management framework, guided by the PRMIA Standards of Best Practice, Conduct and Ethics above all else

C. Is defined as the assembled knowledge and wisdom of the collective stakeholders in the organization, set to maximize shareholder value

D. Eliminates risk to the greatest extent possible

正解：A 解答を投票する

出題：9

A PRMIA member is offered a highly paid work assignment on the condition that some aspects of assignment are not to be done according to PRMIA standards.
What should they do?

A. Accept the assignment, and prior to doing any work, report the conflict of interest to the organization's compliance department

B. Perform the assignment, noting in the final report the standards to which the assignment was done

C. Accept the assignment, produce and deliver two reports according to both standards

D. The PRMIA member should place the integrity of the risk management profession and users of risk management above their own personal interests, and refuse the work

正解：D 解答を投票する

出題：10

The key people involved in the application of good governance and risk management must:
I. be trustworthy
II. be honest
III. be approved by the local regulator
IV. treat others fairly at all times

A. III only

B. I, II, and III only

C. I, II, III and IV above

D. I, II, and IV only

正解：D 解答を投票する

8009試験無料問題集「PRMIA Exam IV: Case Studies: Standards: Governance, Best Practices and Ethics - 2015 Edition 認定」