Banking & Capital Markets

CBI Exam Notes: Chapter 5- The Legal and Regulatory Environment Questions and Answers What are the examples given by the Bank of England in regards to the reasons that banks fail? - Answers- They make poor investment decisions and not enough profits - People and companies who have put their money in a bank account take it out quicker than the bank can manage. This is what happens in a 'bank run' What happens during a 'bank run' - AnswersPeople and companies who have put their ...

TEST BANK, CHAPTER 9 BANKING AND MANAGEMENT OF FINANCIAL INSTITUTIONS EXAM QUESTIONS AND CORRECTANSWERS ALREADY GRADEDA+ Banks hold capital because A) they are required to by regulatory authorities. B) higher capital increases the returns to the owners. C) it increases the likelihood of bankruptcy. D) higher capital increases the return on equity. - ANSWER-A) they are required to by regulatory authorities. Conditions that likely contributed to a credit crunch during the global fi...

CBI Exam Notes: Chapter 5- The Legal and Regulatory Environment Exam Questions And Answers 100% Pass What are the examples given by the Bank of England in regards to the reasons that banks fail? - answer- They make poor investment decisions and not enough profits - People and companies who have put their money in a bank account take it out quicker than the bank can manage. This is what happens in a 'bank run' What happens during a 'bank run' - answerPeople and companies who ha...

Canadian Securities (CSC) Test #1 Questions And Answers 100% Pass Retail firms - answerfull service and discount brokerage firms for individuals. Institutional firms - answerincludes pension funds, mutual funds, and insurance companies. Integrated firms - answercontains all aspects of retail and institutional firms. Front office - answerin charge of portfolio management, marketing, sales, and trading. Middle office - answerin charge of compliance, accounting, audits, and legal. Back offic...

WGU C214 Financial Management End Of Section Questions And Answers 100% Passed Solutions Economics is a subfield of Finance (t/f) 1.1 ANS F. Finance is a subfield of Economics. (right answer) Which of the following is not an example of firm capital? 1.1 ANS Financial markets Which of the following are examples of firm capital? 1.1 ANS Cash, Labor, Machinery Capital is defined as a financial asset. (t/f) 1.1 ANS T. Capital is defined as a financial asset. Corporate finance is dev...

FNCE 4102testbank-M.I very detailed questions with multiple choices(the best required revision questions) TEST BANK| FNCE 4102testbank-M.I very detailed questions with multiple choices(the best required revision questions) CHAPTER 1 TRUE/FALSE QUESTIONS (T) 1. The purpose of the financial system is to bring savers and borrowers together. (F) 2. Businesses are never DSUs. (T) 3. A financial claim is an “IOU” from a deficit spending unit. (T) 4. Investment bankers help D...

Hypothecation - correct answer Pledge of collateral to a lender. Debenture Bonds - correct answer An unsecured promise to pay. The Fed influences the economy through what 4 ways? - correct answer 1) Controlling currency circulation. 2) Adjusting amount of funds available within the commercial banking network through "open market operations". 3) Signaling interest rate move...

Active Management - answer-Investment approach employed to generate returns in excess of the market Additional Rate (of Income Tax) - answer-Tax on top of band of income (currently at 45%) Alternative Investment Market (AIM) - answer-Established by LSE (London Stock Exchange) - Junior market for smaller company shares Annual General Meeting (AGM) - answer-Yearly meeting of shareholders - vote dividends, appoint directors and approve financial statements Approved Persons - answer-Empl...

Expected return - answer-a weighted average of the possible returns, where the weight applied to a particular return equals the probability of that return occurring A: the cv reflects the effects of both risk & return - answer-q: why's the coefficient of variation (cv) a better measure of stand-alone risk that the standard deviation of an asset? A: one that minimizes risk & maximizes expected returns - answer-q: what's an "optimal" portfolio? A: add additional securities to ...

SIE Exam- Unit 1 (Knowledge of Capital Markets) SEC- - answerSecurities and exchange commission is the securities industry's primary regulatory body. Which act created the SEC? - answerThe securities exchange act of 1934 What is the purpose of registering with the SEC - answerIf you conduct securities business with either customers or broker dealers; you must be apply and be approved for registration with the SEC Additional role of the SEC - answerIt regulates all exchanges and tradin...