Nice Win Big Webinar: Trading Floor & Proactive Compliance

10 Questions | Total Attempts: 51

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Webinar Quizzes & Trivia

This is a short assessment that will help you to evaluate your understanding of the solution. Do note that you are only allowed to attempt this quiz ONCE and are required to complete it by Friday, 8 Feb, 11:59pm (+08:00GMT). Time limit is 45 minutes. The top scorers for this quiz stand a chance to win an attractive prize! GOOD LUCK!


Questions and Answers
  • 1. 
    What does 'Dodd-Frank' stand for?
    • A. 

      Albert Dodd-Frank was the name of the senator that initiated this Act

    • B. 

      Seneator Dodd and senator Frank were the two senators who initiated this Act

    • C. 

      Seneator Dodd and senator Frank were the two senators that initated this Act

    • D. 

      Frank Dodd was the first senator that iniated regulations in the US

  • 2. 
    What are the 3 names of the Compliance Suites for Trading Floors?
    • A. 

      Recording, Replay, Analyze

    • B. 

      Capture, Protect, Access

    • C. 

      Compliance Essential, Smart Compliance, Proactive Compliance

    • D. 

      Expore, Construct, Observe

  • 3. 
    Who within an organisation is targeted for Compliance Essentials and Smart Compliance? (you may select more than 1 answer)
    • A. 

      The Voice Manager

    • B. 

      The IT Manager

    • C. 

      The Compliance Manager

    • D. 

      The Risk Manager

  • 4. 
    The new Dodd-Frank regulations requires voice calls to be stored in duplicate
    • A. 

      True

    • B. 

      False

  • 5. 
    Which communication channels must be stored and archived with the new Dodd-Frank regulations? (you may select more than 1 answer)
    • A. 

      Voice Calls

    • B. 

      E-mails

    • C. 

      Chats & Instant Messaging

    • D. 

      SMS

    • E. 

      All of the above

  • 6. 
    What is the name of the index that is used for indexing all communication?
    • A. 

      Intelligent Interaction Index

    • B. 

      Trading Floor Index

    • C. 

      Compliance Index

    • D. 

      Smart Index

  • 7. 
    What is the date that non-US firms need to comply with Dodd-Frank to continue SWAP trading with the US?
    • A. 

      12 October 2012

    • B. 

      1 January 2013

    • C. 

      12 July 2013

    • D. 

      31 December 2013

  • 8. 
    How many interactions can be indexed with Proactive Compliance?
    • A. 

      10,000

    • B. 

      100,000

    • C. 

      1 million

    • D. 

      No limit

  • 9. 
    Why is selling Trading Floor applications for Compliance good for you? (you may select more than 1 answer)
    • A. 

      Brings additional value to the Recording system

    • B. 

      Reaches new contacts within your customers

    • C. 

      Stronger lock-in with your customer

    • D. 

      Stronger lock-in with your customer

  • 10. 
    Who within an organisation is targeted for Proactive Compliance? (you may select more than 1 answer)
    • A. 

      The Voice Manager

    • B. 

      The IT Manager

    • C. 

      The Compliance Manager

    • D. 

      The Risk Manager

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