Question

What role does the System play in compliance with regulatory requirements?

a.

To facilitate communication between Front Office and Back Office

b.

To forecast portfolio returns

c.

To provide and specify regulatory limits

d.

To monitor changes in instrument ratings

Answer: (c).To provide and specify regulatory limits Explanation:The Investment Operation System should have the ability to provide and specify regulatory limits to ensure compliance with all regulatory requirements.

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Q. What role does the System play in compliance with regulatory requirements?

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