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SIE Exam Tutorials | SIE Valid Test Bootcamp & New Securities Industry Essentials Exam (SIE) Test Tutorial - Sugakumaster

SIE

Exam Code: SIE

Exam Name: Securities Industry Essentials Exam (SIE)Certification

Version: V16.75

Q & A: 400 Questions and Answers

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NEW QUESTION: 1
Welche der folgenden Angaben ist eine gültige Stufe einer VAS-Bestellung (Value Added Services)? Bitte wählen Sie die richtige Antwort.
A. Hilfsprodukte
B. Geplante Arbeitslast
C. Inspektionsregeln
D. Ressourcen
Answer: A

NEW QUESTION: 2
Eine Projektkomponente enthält ein zerbrechliches Teil, dessen Herstellung teuer ist. Der Projektmanager muss das Risiko nach Möglichkeit übertragen. Was soll der Projektmanager tun?
A. Weisen Sie das Risiko einem Teilprojektmanager zu.
B. Abschluss einer Versicherung gegen Transportschäden.
C. Stellen Sie eine Änderungsanforderung, um den Lufttransport zu arrangieren.
D. Ändern Sie die Produktspezifikation in weniger empfindliche Materialien.
Answer: B

NEW QUESTION: 3
コンプライアンス担当者は、機関の監視システムからレポートを受け取ります。送金された現金と送金された国際送金の金額について、複数のアラートで1つのアカウントが特定されました。
コンプライアンスオフィサーが活動を報告する必要があるかどうかを判断できるように、機関内で保持されている情報の2つの情報源はどれですか。 (2つ選択してください。)
A. 異常なアクティビティを識別するための監視システムパラメータ
B. 登録されているお客様のデューデリジェンス情報
C. アカウントの署名カード
D. 異常なアクティビティが発生した期間のトランザクションレコード
Answer: B,D

SIE Related Exams
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