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Quiz 1 of 0

Trade Lifecycle Quiz Copy

SagarKharat May 10, 2024

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Question 1 of 10

1. Question
1.) ________is the process of buying and selling any financial instrument.
- Trade
- Dealing
- Exchange
- Contracts
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Question 2 of 10

2. Question
2.) What are the two main types of returns from stocks?
- Interest and Appreciation
- Dividends and Capital gains
- Profit and Loss
- Assets and Liabilities
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Question 3 of 10

3. Question
3.) For risk-averse investors, what type of securities is recommended to reduce interest rate risk?
- High-risk securities.
- Low-rated securities.
- Securities with short maturity periods.
- Securities with long maturity periods.
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Question 4 of 10

4. Question
4.)__________ job involves selecting the best stocks, bonds, and other financial market instruments.
- Broker’s
- Dealer’s
- Investment Manager’s
- Custodian’s
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Question 5 of 10

5. Question
5.) What is the role of the trade settlement team?
- To ensure the smooth and timely settlement of trades.
- To validate the trade and assess the risk.
- To calculate the settlement requirements and collect margins.
- To capture and record the details of the trade.
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Question 6 of 10

6. Question
6.) ___________ settlement is that settlement which takes place immediately following the rolling settlement principle of T+2.
- Spot
- Scheduled
- Future
- Instant
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Question 7 of 10

7. Question
7.) What is an example of reconciliation in the trade lifecycle?
- Matching employee salaries to the budget.
- Calculating the total assets of a company.
- Comparing a bank statement to the internal record of cash receipts and disbursements.
- Verifying the accuracy of marketing expenses
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Question 8 of 10

8. Question
8.) What is the settlement date?
- The date when a purchase is made or cash is withdrawn.
- The date when the transaction is received by the account.
- The date when the expect receivable comes in.
- The date when a trade is final.
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Question 9 of 10

9. Question
9.) The role of the __________ involves Contract Maintenance, Event Processing, Valuation, Payment and Settlement.
- Registrar
- Custodian
- Record Keeper
- Curator
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Question 10 of 10

10. Question
10.) What is the final step in the trade life cycle?
- Trade capture and order generation.
- Trade confirmation and settlement instructions.
- Trade clearing and margin requirements.
- Trade reconciliation and recordkeeping.
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