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1、C15042融资融券担保证券风险管理testquestionsExaminationquestionsFirst,individualchoicequestions1.theresponsibilityofthecreditmanagementcommitteeofthemargintradingsystemintroducedinthiscourseisthatofthecompany'screditmanagementcommittee・A.examinationandapprovalofmarginsecuritiesandconve
2、rsionratesB.riskreviewofmargintradingC.benchmarksecuritiesandmarginratioforapprovalD.carryoutriskauditonthescalecontrolofmargintradingandthehandlingofmajorissuesYouranswer:DSubjectscore:10Score:10Armotation:Two,multiple-choicequestions1.concerningtheriskmanagementofsecurit
3、iescollateralaccountsecurity,thefollowingoptionsarecorrect・A.forconcentrationofaccounts,intothescopeofriskconcernB.shouldfocusonmaintainingtheproportionofsecuritybelowthewarninglineThelargerthedebtscaleoftheC・account,thehighertheconcernD.lowmaintenanceguaranteeratio,highco
4、ncentrationandpositionpreferenceforsmallandmediumboardorgemcustomersneedtobeincludedintheriskrangeofattentionYouranswer:B,A,D,CSubjectscore:10Score:10Annotation:3.,indeterminingtheconversionrateofmarginsecurities,thebasicelementsofthestockcanbereferredto()andotherindicator
5、s・A.netprofitB.netassetyieldA.netprofitgrowthrateB.mainbusinessrevenuegrowthYouranswer:D,B,A,CSubjectscore:10Score:10Annotation:4.determinetheconversionrateofmarginsecuritiesinrelationtothiscourse・Thefollowingoptionsarecorrect()・ThedeterminationoftheconversionrateofA.guara
6、nteedsecuritiesshallbeeffectiveafterapprovalbythecreditmanagementcommissionofthecompanyB.differenttypesoffunds,accordingtodifferentrisks,formulatethecorrespondingconversionratestandardsC.indeterminingcreditdebtconversionrate,focusonthesubjectofcreditanddebtrating,liquidity
7、,durationandotherindicatorsD.classificationAfundconversionrateisgenerallyhigherthanbondfundsYouranswer:C,A,Subjectscore:10Score:10Annotation:5.,inthemarginsecuritiesaccountriskfocuson()andotherindicators・A.singlecustomerconcentrationB.maintenanceguaranteeratioC.debtscaleD.
8、positionpreferenceYouranswer:A,D,B,CSubjectscore:10Score:10Annotation:6.,inthescreeningof
