Summer Special Limited Time 60% Discount Offer - Ends in 0d 00h 00m 00s - Coupon code: 8w52ceb345

What is the risk of dealing through an agent with an unknown principal?

ACI 3I0-012 Full Course Access
ACI 3I0-012 View All Questions

What is the risk of dealing through an agent with an unknown principal?

A.

You may not be able to ensure that your firm can avoid suspicion of trading on non-public information or other allegations of bad or illegal trading practice.

B.

You may not be able to net your exposure in an insolvency.

C.

You may not be able to net your exposure for capital adequacy purposes.

D.

All of the above.

3I0-012 PDF/Engine
  • Printable Format
  • Value of Money
  • 100% Pass Assurance
  • Verified Answers
  • Researched by Industry Experts
  • Based on Real Exams Scenarios
  • 100% Real Questions
buy now 3I0-012 pdf
Get 60% Discount on All Products, Use Coupon: "8w52ceb345"
Next
When dealing with a fund manager, who will allocate shares in a transaction to his...
Where there are shared management responsibilities or where an investment or shareholding exists in a...
Previous