Bank operations with securities - SYNERGY test answers
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Ready answers to the Bank Operations with Securities test.
Educational institution: SYNERGY, MY, MIT.
Delivery: fresh.
The result of passing is 95-100 points.
Below you can find questions on the Bank Operations with Securities test.
QUESTIONS FOR THE TEST:
1. If a bank has 250 shares of OJSC Gazprom, 100 promissory notes of Sberbank and 150 savings loan bonds, then consider that it has formed a portfolio of valuable
papers...
- it is possible if he manages the totality of these securities as a single whole
-impossible, since the portfolio cannot include both debt and equity securities at the same time
-possible if this portfolio has the status of a “trading portfolio”
-possible if this portfolio has the status of an “investment portfolio”
2. The bank, which is the depository, ...blocks the client´s securities account.
-may by decision of the issuer’s Board of Directors
-can not
-may only be by court order
-Maybe
3. License of a professional participant in the securities market to carry out
depository activity issued to the bank, ...
-has a validity period, but not more than 10 years
-has a validity period established by the Central Bank of the Russian Federation
-has a validity period established by the Federal Financial Markets Service
- has no expiration date
4. According to the economic content of the bank’s operations with securities, they are divided into ...
-active
- fiduciary
-urgent cash (cash)
-passive
-commissions (client)
5. The bank, which is a depository, takes into account clients’ securities on ...
-current account
-personal account
-trading account
-depo account
6. Additional issue of preferred shares by a credit institution is subject to
state registration in...
-Ministry of Justice
-Ministry of Finance
-Bank of Russia
-Federal Service for Financial Markets
7. In accordance with Russian legislation, the bill...
-is only a book-entry security
-is only a documentary security
-can be issued in both documentary and non-documentary form
- is a strict reporting form that can only be issued in documentary form
form
8. The trading participant (dealer or broker) has a special license to carry out
stock exchange transactions...
-should not, if it performs the corresponding functions
-must, this is an indispensable condition for admission to the exchange
-not required, it is enough to have a broker and/or dealer license
-must if he is engaged in brokerage activities, and should not if he is engaged in dealer activities
activities
9. The following securities may be objects of trust management of the bank
...
- shares of joint-stock companies, including shares held at the time of conclusion of the agreement
trust management of them in state (municipal) property
- bills of exchange and promissory notes
-bonds of commercial organizations, including bonds held at the time
concluding a trust management agreement in a state (municipal)
property
- warehouse receipts of any kind (types), as well as other valuable assets of title
paper
-deposit (savings) certificates of banks and other credit organizations, as well as
bearer savings books
10. According to the legislation of the Russian Federation, issue-grade securities include...
-bills
-bonds
-options
-stock
-Russian depositary receipts
- issuer options
11. The economic content of banks’ operations with securities is ...
- maintaining balance sheet liquidity
- in drawing up an investment declaration
-securitization of assets
-in ensuring solvency
12. The procedure for accounting for bills of exchange is as follows:
- the bank collects and forms in writing information about bills issued and received,
as well as about bill loans, indicating the name of the drawer (holder of the bill),
payer, bill amount, payment term
-the holder of the bill transfer
Educational institution: SYNERGY, MY, MIT.
Delivery: fresh.
The result of passing is 95-100 points.
Below you can find questions on the Bank Operations with Securities test.
QUESTIONS FOR THE TEST:
1. If a bank has 250 shares of OJSC Gazprom, 100 promissory notes of Sberbank and 150 savings loan bonds, then consider that it has formed a portfolio of valuable
papers...
- it is possible if he manages the totality of these securities as a single whole
-impossible, since the portfolio cannot include both debt and equity securities at the same time
-possible if this portfolio has the status of a “trading portfolio”
-possible if this portfolio has the status of an “investment portfolio”
2. The bank, which is the depository, ...blocks the client´s securities account.
-may by decision of the issuer’s Board of Directors
-can not
-may only be by court order
-Maybe
3. License of a professional participant in the securities market to carry out
depository activity issued to the bank, ...
-has a validity period, but not more than 10 years
-has a validity period established by the Central Bank of the Russian Federation
-has a validity period established by the Federal Financial Markets Service
- has no expiration date
4. According to the economic content of the bank’s operations with securities, they are divided into ...
-active
- fiduciary
-urgent cash (cash)
-passive
-commissions (client)
5. The bank, which is a depository, takes into account clients’ securities on ...
-current account
-personal account
-trading account
-depo account
6. Additional issue of preferred shares by a credit institution is subject to
state registration in...
-Ministry of Justice
-Ministry of Finance
-Bank of Russia
-Federal Service for Financial Markets
7. In accordance with Russian legislation, the bill...
-is only a book-entry security
-is only a documentary security
-can be issued in both documentary and non-documentary form
- is a strict reporting form that can only be issued in documentary form
form
8. The trading participant (dealer or broker) has a special license to carry out
stock exchange transactions...
-should not, if it performs the corresponding functions
-must, this is an indispensable condition for admission to the exchange
-not required, it is enough to have a broker and/or dealer license
-must if he is engaged in brokerage activities, and should not if he is engaged in dealer activities
activities
9. The following securities may be objects of trust management of the bank
...
- shares of joint-stock companies, including shares held at the time of conclusion of the agreement
trust management of them in state (municipal) property
- bills of exchange and promissory notes
-bonds of commercial organizations, including bonds held at the time
concluding a trust management agreement in a state (municipal)
property
- warehouse receipts of any kind (types), as well as other valuable assets of title
paper
-deposit (savings) certificates of banks and other credit organizations, as well as
bearer savings books
10. According to the legislation of the Russian Federation, issue-grade securities include...
-bills
-bonds
-options
-stock
-Russian depositary receipts
- issuer options
11. The economic content of banks’ operations with securities is ...
- maintaining balance sheet liquidity
- in drawing up an investment declaration
-securitization of assets
-in ensuring solvency
12. The procedure for accounting for bills of exchange is as follows:
- the bank collects and forms in writing information about bills issued and received,
as well as about bill loans, indicating the name of the drawer (holder of the bill),
payer, bill amount, payment term
-the holder of the bill transfer
one percent
from this amount
-accounting for bills issued for an amount equal to or exceeding 600 thousand rubles is one of
programs implemented to combat the legalization (laundering) of income,
obtained by criminal means and terrorist financing
13. Redemption of a savings certificate can be made ...
- only in non-cash form
- in cash or non-cash form
-only in non-cash form if the investor is a non-resident of the Russian Federation
- only in cash
14. The depositary is...
- a professional participant in the securities market providing registration and transition services
rights to securities in securities accounts or personal accounts
-a professional participant in the securities market providing storage services
securities certificates and/or accounting and transfer of rights to securities, as well as
carrying out trust management of securities transferred for storage
-a professional participant in the securities market providing storage services
securities certificates and/or accounting and transfer of rights to securities
- a universal or specialized bank licensed to carry out
banking activities and providing services for accounting and transfer of rights to securities
15. Acceptance is...
- disagreement to pay the bill
- agreement to pay the bill in favor of the bill holder
- agreement to pay the bill in favor of the drawer
- agreement to be a payer on a promissory note in favor of the holder of the bill
16. In accordance with the legislation of the Russian Federation, the payer of a check can be ...
- state authority or local government
- any legal entity
-bank
- any individual
17. Property of OFBU...
-belongs by right of joint ownership to the founders of the OFBU and the credit organization -
to the trustee
-belongs by right of common shared ownership to the founders of the OFBU and credit
organization - trustee
- transferred by the founders of management into the ownership of the credit organization - to the trustee
manager
-belongs on the right of common shared ownership to the founders of the OFBU
18. Non-issue securities are the object of depository activities...
-can
-can not
-they can, but only if they are undocumented
-cannot if securities are issued by individuals
19. The bank is a dealer on its own behalf, but on behalf of the client, sold registered shares,
owned by the client. In this case ...
-no rights or obligations arise; the dealer bank has no right to execute orders at all
clients
- the rights and obligations under this transaction arise with the dealer bank
- the rights and obligations under this transaction arise directly from the client
- no rights and obligations arise, the dealer bank could not sell the client’s registered shares from its
name, even if there is a client’s order
20. If a bank places bonds by open subscription, then...
- placement can be made only among an unlimited circle of persons, which includes
over 500 persons
-disclosure of information about the issuing bank is not required
- a prospectus for the issue of securities is required
-state registration of the conditions for issuing securities is not required
21. Statement “The Bank can be an issuer of registered bonds for
bearer" ...
-wrong, such bonds are not issued at all
-true, since the issuer of bonds can be any legal entity
-wrong, such bonds are issued only by joint stock companies
-wrong, such bonds can only be government bonds
22 A bank performing the functions of a broker cannot execute client orders for ...
market
- unorganized over-the-counter
- unorganized exchange
-organized over-the-counter
-exchange
23. A bank share is...
-a share-issued non-registered security that gives its owner the right to
receiving dividends
-equity security that gives its owner the right to receive equal shares
regular payments
from this amount
-accounting for bills issued for an amount equal to or exceeding 600 thousand rubles is one of
programs implemented to combat the legalization (laundering) of income,
obtained by criminal means and terrorist financing
13. Redemption of a savings certificate can be made ...
- only in non-cash form
- in cash or non-cash form
-only in non-cash form if the investor is a non-resident of the Russian Federation
- only in cash
14. The depositary is...
- a professional participant in the securities market providing registration and transition services
rights to securities in securities accounts or personal accounts
-a professional participant in the securities market providing storage services
securities certificates and/or accounting and transfer of rights to securities, as well as
carrying out trust management of securities transferred for storage
-a professional participant in the securities market providing storage services
securities certificates and/or accounting and transfer of rights to securities
- a universal or specialized bank licensed to carry out
banking activities and providing services for accounting and transfer of rights to securities
15. Acceptance is...
- disagreement to pay the bill
- agreement to pay the bill in favor of the bill holder
- agreement to pay the bill in favor of the drawer
- agreement to be a payer on a promissory note in favor of the holder of the bill
16. In accordance with the legislation of the Russian Federation, the payer of a check can be ...
- state authority or local government
- any legal entity
-bank
- any individual
17. Property of OFBU...
-belongs by right of joint ownership to the founders of the OFBU and the credit organization -
to the trustee
-belongs by right of common shared ownership to the founders of the OFBU and credit
organization - trustee
- transferred by the founders of management into the ownership of the credit organization - to the trustee
manager
-belongs on the right of common shared ownership to the founders of the OFBU
18. Non-issue securities are the object of depository activities...
-can
-can not
-they can, but only if they are undocumented
-cannot if securities are issued by individuals
19. The bank is a dealer on its own behalf, but on behalf of the client, sold registered shares,
owned by the client. In this case ...
-no rights or obligations arise; the dealer bank has no right to execute orders at all
clients
- the rights and obligations under this transaction arise with the dealer bank
- the rights and obligations under this transaction arise directly from the client
- no rights and obligations arise, the dealer bank could not sell the client’s registered shares from its
name, even if there is a client’s order
20. If a bank places bonds by open subscription, then...
- placement can be made only among an unlimited circle of persons, which includes
over 500 persons
-disclosure of information about the issuing bank is not required
- a prospectus for the issue of securities is required
-state registration of the conditions for issuing securities is not required
21. Statement “The Bank can be an issuer of registered bonds for
bearer" ...
-wrong, such bonds are not issued at all
-true, since the issuer of bonds can be any legal entity
-wrong, such bonds are issued only by joint stock companies
-wrong, such bonds can only be government bonds
22 A bank performing the functions of a broker cannot execute client orders for ...
market
- unorganized over-the-counter
- unorganized exchange
-organized over-the-counter
-exchange
23. A bank share is...
-a share-issued non-registered security that gives its owner the right to
receiving dividends
-equity security that gives its owner the right to receive equal shares
regular payments
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