Pdf Demo 8020 Download | Brain 8020 Exam
Pdf Demo 8020 Download | Brain 8020 Exam
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Quiz Professional PRMIA - Pdf Demo 8020 Download
Actual4Dumps’s 8020 exam dumps comprise a brief and succinct set of exam questions that provides authentic, updated and the most relevant information on each syllabus contents that may be the part of your 8020 exam paper. The 8020 dumps have been verified and approved by the skilled professional. Hence, there is no question of irrelevant or substandard information. The feedback of our customers evaluates 8020 Brain Dumps as the top dumps that helped their overcome all their exam worries rather enabled them to ace it with brilliant success.
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PRMIA ORM Certificate - 2023 Update Sample Questions (Q58-Q63):
NEW QUESTION # 58
For the Barings case study, segregation of duties was an issue. How did this present itself in this case?
- A. A trader was responsible for managing the back-office.
- B. A risk manager was responsible for managing the back-office
- C. A trader was responsible for managing the expense account.
- D. A trader was responsible for managing the front-office.
Answer: A
Explanation:
Background of the Barings Case Study
Nick Leeson, a trader at Barings Bank, caused the collapse of the institution due to unauthorized trading in derivatives.
A critical failure was the lack of segregation of duties, allowing Leeson to both execute trades (front-office) and oversee trade settlement (back-office).
How Segregation of Duties Failed
Proper segregation of duties ensures that no single individual has unchecked control over trading and settlement.
Leeson was responsible for both trading (front-office) and settlement (back-office), meaning he could hide losses without detection.
Why Answer A is Correct
A trader (Leeson) should never have been managing back-office functions.
His dual role allowed him to manipulate records and bypass controls, leading to $1.3 billion in losses and the bank's collapse.
Why Other Answers Are Incorrect
Option
Explanation:
B . A trader was responsible for managing the front-office.
Incorrect - Traders are supposed to manage the front-office; the issue was their involvement in back-office functions.
C . A risk manager was responsible for managing the back-office.
Incorrect - The issue was lack of oversight on the trader, not risk managers handling back-office duties.
D . A trader was responsible for managing the expense account.
Incorrect - The main issue was the trader's control over trade settlement, not expense accounts.
PRMIA Reference for Verification
PRMIA Case Study on Barings Bank Collapse
Basel Principles on Segregation of Duties in Risk Management
NEW QUESTION # 59
Risk Sensitive pricing is required for several good reasons. Which one of the following is not relevant to the Management's evaluation of the correct approach to Risk Sensitive pricing?
- A. To adequately reward the investors for the capital they gave us to put at risk.
- B. To avoid the build-up of a skewed quality property portfolio.
- C. To link personal targets to risk-adjusted return requirements would reinforce the desired risk aware, culture.
- D. To ensure the income targets can be met or exceeded.
Answer: D
Explanation:
Risk-sensitive pricing ensures that financial institutions and businesses properly account for risk in their pricing strategies to maintain stability and sustainability. PRMIA's Risk Pricing and Capital Adequacy Guidelines define the importance of risk-sensitive pricing in ensuring fair compensation for risk exposure and avoiding risk concentration issues.
Step 1: Why Risk-Sensitive Pricing Is Important
Aligns risk with return: Pricing should be designed to reflect the underlying risk and return trade-off.
Protects investors: Investors expect compensation for capital at risk (Option A is correct).
Reinforces risk-aware culture: PRMIA promotes linking incentives to risk-adjusted returns (Option B is correct).
Prevents adverse selection: Proper risk pricing prevents low-quality assets from accumulating (Option C is correct).
Step 2: Why Option D Is Incorrect
Income targets are business-driven, not risk-driven.
Risk-sensitive pricing aims to balance risk and reward, not just maximize revenue.
PRMIA discourages profit-seeking behavior at the expense of risk considerations.
PRMIA Risk Reference Used:
PRMIA Risk Pricing Guidelines - Defines the principles of risk-sensitive pricing.
PRMIA Risk-Adjusted Return Standards - Stresses linking incentives to risk-aware decisions.
PRMIA Capital Adequacy Framework - Highlights the role of risk-sensitive pricing in portfolio management.
Final Conclusion:
Risk-sensitive pricing is designed to align returns with risk exposure, not simply to meet or exceed income targets, making Option D the correct answer.
NEW QUESTION # 60
Which of the following is a correct statement about control rating scales?
- A. They are enhanced by the use of software that includes inherent risk.
- B. A control rating scale should consider neither control effectiveness or control performance.
- C. A control rating scale should consider both control effectiveness and control performance.
- D. A control rating scale should consider control effectiveness but not control performance.
Answer: C
Explanation:
Definition of Control Rating Scales
Control rating scales measure the effectiveness and performance of risk management controls.
They help organizations evaluate control strength and identify weaknesses.
Key Components
Control effectiveness → Measures how well the control mitigates risks.
Control performance → Assesses whether the control operates as designed in practice.
Why Answer C is Correct
Both effectiveness and performance are crucial for assessing control reliability.
A control may be designed effectively but fail in execution, making both factors essential.
Why Other Answers Are Incorrect
Option
Explanation:
A . They are enhanced by the use of software that includes inherent risk.
Incorrect - Software can improve ratings, but control scales are based on evaluation criteria, not just software tools.
B . A control rating scale should consider control effectiveness but not control performance.
Incorrect - Ignoring performance could lead to misjudging actual control reliability.
D . A control rating scale should consider neither control effectiveness nor control performance.
Incorrect - This would render the control rating scale useless.
PRMIA Reference for Verification
PRMIA Governance and Control Framework
Basel Operational Risk Management Guidelines
NEW QUESTION # 61
Confidence Accounting can be defined as:
- A. An approach that encourages companies and audit firms to have diverse boards.
- B. An approach that encourages companies and audit firms to use regular statements in their Al software.
- C. An approach that encourages companies and audit firms to stop using figures and maths.
- D. An approach that encourages companies and audit firms to use ranges, rather than discrete numbers, for major accounting entries.
Answer: D
Explanation:
Definition of Confidence Accounting
Confidence Accounting challenges traditional accounting by introducing probability distributions and ranges rather than fixed numbers for financial reporting.
This approach improves transparency and risk awareness by acknowledging uncertainty in financial figures.
Why Answer B is Correct
Encourages using ranges (confidence intervals) instead of discrete values to better reflect uncertainty.
Used in risk-sensitive industries where financial estimates vary due to external factors (e.g., credit risk, market fluctuations).
Why Other Answers Are Incorrect
Option
Explanation:
A . An approach that encourages companies and audit firms to have diverse boards.
Incorrect - Board diversity is unrelated to Confidence Accounting.
C . An approach that encourages companies and audit firms to use regular statements in their AI software.
Incorrect - AI may use probability models, but Confidence Accounting is an accounting methodology, not an AI approach.
D . An approach that encourages companies and audit firms to stop using figures and maths.
Incorrect - Confidence Accounting still relies on mathematical models; it does not eliminate numerical analysis.
PRMIA Reference for Verification
PRMIA Financial Risk Reporting Standards
IFRS (International Financial Reporting Standards) Guidelines on Probability-Based Accounting
NEW QUESTION # 62
An example of Credit Risk events with an Operational Risk component included?
- A. Ponzi Schemes & Rogue Trading.
- B. Failure in loan approval process leading to erroneously approved loans.
- C. Ponzi Schemes.
- D. Rogue Trading.
Answer: A
Explanation:
Step 1: Understanding Credit Risk with an Operational Risk Component
Credit Risk: Risk of loss due to borrower default.
Operational Risk: Risk of loss due to failed internal processes, fraud, or misconduct.
Step 2: Why Option D is Correct
Ponzi Schemes: Fraudulent investment scams disguise credit risk as legitimate lending but collapse when new funds dry up.
Rogue Trading: Traders take unauthorized risks that can lead to credit defaults or massive financial losses.
Step 3: Why the Other Options Are Incorrect
Option A ("Failure in loan approval process") → This is an Operational Risk issue, but does not always create Credit Risk.
Option B ("Ponzi Schemes") → Partially correct, but does not include Rogue Trading, which is also a credit risk-related operational failure.
Option C ("Rogue Trading") → Partially correct, but does not include Ponzi Schemes, which are another key example.
PRMIA Risk Reference Used:
PRMIA Operational Risk Framework - Highlights fraud-based Credit Risk events.
Basel II/III Operational Risk Guidelines - Discusses trading misconduct and credit risk misrepresentation.
Final Conclusion:
Both Ponzi Schemes and Rogue Trading involve credit risk failures caused by operational misconduct, making Option D the correct answer.
NEW QUESTION # 63
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