Black Friday Special Limited Time 70% Discount Offer - Ends in 0d 00h 00m 00s - Coupon code: 70percent

SOFE AFE Accredited Financial Examiner Exam Practice Test

Demo: 42 questions
Total 286 questions

Accredited Financial Examiner Questions and Answers

Question 1

Duration is a measure of the first-order interest rate sensitivity of a financial instrument.

Options:

A.

True

B.

False

Question 2

is the price in a hypothetical transaction at the measurement date in the market in which the reporting entity would transact for the asset or liability

Options:

A.

Feasible financial price

B.

Asset/Liability price

C.

Principal price

D.

Exchange price

Question 3

A metric is a measurement standard or yardstick for quantifying Asset/Liabilities Management (ALM) risk.

Options:

A.

True

B.

False

Question 4

The adjustments of the premium during the period of coverage based on actual experience during that same period are called:

Options:

A.

Policy rating

B.

Schedule rating

C.

Experience rating

D.

Retrospective Experience rating

Question 5

_______________ reserves for income tax purposes are referred to as maximum tax actuarial reserves (MTAR) and replace the actuarial liabilities used for accounting purposes in computing taxable income.

Options:

A.

Procedure-related

B.

Policy-related

C.

Standardized- related act

D.

None of the above

Question 6

The agents submit to the insurance entity a statement of all policies issued or due during the current month, and the net amount of the statement is subsequently to be paid in accordance with the agency agreement, is an account current of:

Options:

A.

Insurance billing

B.

Direct billing

C.

Rendering basis

D.

Billing basis

Question 7

Excess liability:

Options:

A.

covers the insured against the loss in access of an actual amount, but only for profits as covered and defined in a predetermined planning.

B.

covers the insured against the loss in access of an actual amount, but only for profits as covered and defined in an underlying policy.

C.

covers all uninsured against the gain in access of a stated amount, but only for losses as covered and defined in an underlying policy.

D.

covers the insured against the loss in access of a stated amount, but only for losses as covered and defined in an underlying policy.

Question 8

What may leave more risk than a company should prudently assume due to the risk exacerbating features of a particular product?

Options:

A.

Feasible investment strategy

B.

Design strategy

C.

Risk strategy

D.

Product risk strategy

Question 9

What confirms the hypothesized interest rate sensitivities and shows that the two lines of business are fairly complementary?

Options:

A.

Harmonizing graph

B.

Balance curve

C.

Price behavior curve

D.

List pricing graph

Question 10

The risk that the obligation will not be fulfilled and affects the value at which the liability is transferred is known as:

Options:

A.

performance risk

B.

nonperformance risk

C.

hypothetical risk

D.

relocation risk

Question 11

In which premium income less return premiums arising from policies issued by the entity collecting the premiums and acting as the primary insurance carrier?

Options:

A.

Indirect premium

B.

Direct premium

C.

Reinsurance premium

D.

Entity premium

Question 12

Principal objectives of state statutes are: to investigate and settle some or all of the

Options:

A.

restrict investments of insurance entities

B.

prescribe methods of admitted asset recovery

C.

acquisition of risk-based capitals

D.

Both B & C

Question 13

Insurance entities establish

claims of the member companies.

Options:

A.

Company competency

B.

Claim opportunities

C.

Corrective strategies

D.

Adjustment bureaus

Question 14

Generally, a company earns a servicing fee when it retains the servicing of a block of loans in which it has sold all or part of the block. Service fees received from sales of participations are recorded as:

Options:

A.

Gross income and not netted against interest income remitted to the acquiring party

B.

Unearned revenue and not netted against interest income remitted to the acquiring party

C.

Gross income

D.

Netted against interest income remitted to the acquiring party

Question 15

Which are the types of misstatements relevant to the auditor’s consideration of fraud in a financial statement audit?

Options:

A.

misstatements arising from fraudulent financial reporting

B.

misstatements arising from misappropriations of assets

C.

Both A & B

D.

Neither A nor B

Question 16

Which of the following is NOT the step of the transaction cycle?

Options:

A.

Evaluating and accepting expenses

B.

Issuing policies

C.

Billing and collecting premiums

D.

Home office and branch office recordkeeping

Question 17

What is characterized by liabilities “shorter” than assets, which can lead to the liquidation of assets at depressed values in times of higher than expected interest rates?

Options:

A.

Reinvestment risk

B.

Actual interest risk

C.

Capital value risk

D.

None of the above

Question 18

Risk retention group is:

Options:

A.

A public entity formed by the members of the public pool primarily to provide business risk competency to the members.

B.

A business entity formed by the members of the private pool primarily to provide commercial asset insurance to the members.

C.

An insurance entity formed by the members of the private pool primarily to provide commercial liability insurance to the members.

D.

An insurance entity formed by the members of the public pool primarily to provide commercial expense insurance to the members.

Question 19

From what the most direct value-based requirements arise which are present in account value accumulation products?

Options:

A.

profit margins

B.

policy holding rates

C.

implicit interest rates

D.

withdrawal provisions

Question 20

The pro rata portion of premiums written allocable to unexpired policy periods represents unearned premiums, which are reflected as in the balance sheet.

Options:

A.

Liabilities

B.

Expenses

C.

Revenues

D.

None of the above

Question 21

The private pools can fall in which two categories:

Options:

A.

Risk retention and sale groups

B.

Risk retention and purchasing groups

C.

Public and purchasing groups

D.

None of the above

Question 22

An estimate due to time lags in the receipt of reports from cendants is called reinsurance.

Options:

A.

True

B.

False

Question 23

Special surplus funds are portions of surplus allocated or appropriated for a specific purpose. Special surplus funds usually are allocated voluntarily but also may be required by an insurance regulator. Which one the following is NOT an example of special funds:

Options:

A.

Group contingency reserve

B.

Group annuity contingency reserve

C.

Participation is separate accounts

D.

Guarantee Loan

Question 24

When securities repurchased under repos commonly have a principal amount that differs from principal amount of the security originally sold under the agreement, is known as:

Options:

A.

Splintering act

B.

Breakage

C.

Rollover

D.

None of the above

Question 25

What is the act in which the main sections are for Canadian companies and for foreign companies?

Options:

A.

Investment reimbursement Act

B.

Insurance Companies Act

C.

Regulatory Act

D.

Revenue-earned Act

Question 26

It indicates the lender’s commitment to make a loan in accordance with the terms specified either in the borrower’s loan application or in the terms the company approves for the loan.

Options:

A.

Verification of deposits

B.

Commitment letter

C.

Appraisal

D.

Original note

Question 27

GAAP have two important functions. First, they provide a set of standards that endeavor to measure with reasonable accuracy the assets held, liabilities owed, revenue earned, and expenses incurred by the company. For life insurance companies these measurement rules have been prescribed specifically for their specialized products. The second important function of GAAP is:

Options:

A.

To ensure the comparability of financial data from year to year within each company and with similar data prepared by other companies

B.

To ensure the comparability of financial data

C.

To ensure the comparability of financial data from month to month within each company and with similar data prepared by other companies

D.

To ensure the comparability of financial data from quarter to quarter within each company and with similar data prepared by other companies

Question 28

Which of the following in NOT the flow of transaction through the claims cycle?

Options:

A.

Quick-tail lines claim acceptance

B.

Insurance underwritten

C.

Claim settlement

D.

Loss reserve evaluation

Question 29

These are the loans in which:

Arrangement is usually called commitment When the structure is completed and put in service, the loan is paid off from the proceeds of the long term financing, whatever its source Proper controls would require the lender to obtain documentation for the disbursed portion of the construction loan and be assured that the cost of the structure to date is equivalent to the disbursed portion of the construction loan. What are these?

Options:

A.

Undeveloped Land Loans

B.

Construction Loans

C.

Development Loans

D.

Residential Loans

Question 30

Which of the following is NOT the Asset/ Liability Management (ALM) activity?

Options:

A.

Regulation of Insurer Financial Disclosure

B.

Regulation of Insurer Investment Activity

C.

Regulation of Insurer Reserve Adequacy

D.

Regulation of Insurer Asset Adequacy

Question 31

The auditor should obtain a sufficient understanding by performing risk assessment procedures to:

Options:

A.

evaluate the design of controls not relevant to audit of financial statement

B.

determine whether design of controls have been implemented

C.

Both A & B

D.

Neither A nor B

Question 32

Subrogation is:

Options:

A.

legal right of the distributer to recover from vendors who may be wholly responsible for the loss paid under the terms of the agreement.

B.

legal right of the insurer to recover from a third party who may be wholly or partly responsible for the loss paid under the terms of the policy.

C.

legal right of the claimer to recover from the organization that may be wholly or partly responsible for the loss paid under the terms of the company’s policy.

D.

legal right of the business to recover from a third party who may be wholly responsible for the loss paid under the terms of the policy.

Question 33

Direct serving loans method requires a system of good internal control and requires that the functions be split between the Accounting Department and the Investment Department. In such a case the Accounting Department is responsible for all of the following EXCEPT:

Options:

A.

Supplying the Investment Department with correct data and reports that summarize all loan transactions

B.

Alerting the Investment Department promptly whenever an exception to the normal processing routine occurs

C.

The design, maintenance, and accuracy of accounting records, for periodic management and exception reports, and for statutory statement preparation

D.

Its records may or may not provide the needed data to support this reporting function

Question 34

What allows an entity to eliminate the reserve that was recorded for the claim, even if it exceeded the amount paid for the settlement?

Options:

A.

ethical act

B.

controlled procedure

C.

structured settlement

D.

None of the above

Question 35

An attitude that includes a questioning mind and a critical assessment of audit evidence is called:

Options:

A.

Operational skepticism

B.

Audit skepticism

C.

Professional skepticism

D.

None of the above

Question 36

Who is responsible for accounting for customer remittance advices and the agent’s current account?

Options:

A.

Accounts department

B.

Customer release policy

C.

Payment policy

D.

Premium collection department

Question 37

Short-term portfolios are:

Options:

A.

Portfolios consisting of liabilities with maturities of one year to meet dollar needs.

B.

Portfolios consisting of combined revenues of less than one year to meet liquidity needs.

C.

Portfolios consisting of assets with maturities of less than one year to meet liquidity needs.

D.

Portfolios consisting of expenses with maturities of less than or equal to one year to meet dollar needs.

Question 38

For purposes of establishing an appropriate financial statement reserve, the most important factors to consider are:

Options:

A.

the historical adequacy

B.

consistency in the reserving approach

C.

availability of statistical analysis of reserves

D.

All of the above

Question 39

The reason behind, when an insurance entity may request permission from the domiciliary state regulatory authority to use a specific accounting practice in the preparation of its statutory financial statements, may include:

Options:

A.

the entity wishes to depart from Statutory Accounting Practices (SAP)

B.

the prescribes SAP address the accounting for transaction

C.

Both A & B

D.

Neither A nor B

Question 40

The establishment of loss reserves generally requires considerable judgment and knowledge of the entity’s business is known as:

Options:

A.

integration assessment

B.

procurement assessment

C.

qualitative assessment

D.

quantitative assessment

Question 41

With traditional whole life insurance:

Options:

A.

an interest rate on reserves is implicit in the premium rate and is unlocked at time of policy issuance

B.

an expense rate on reserves is explicit on the premium rate and is locked in at time of policy issuance

C.

an interest rate on reserves is implicit in the premium rate and is locked in at time of policy issuance

D.

a debt rate on reserves is implicit in the premium rate and is unlocked at time of policy issuance

Question 42

Liabilities are recognized for known claims when sufficient information has been developed to indicate the involvement of a specific insurance policy.

Options:

A.

True

B.

False

Demo: 42 questions
Total 286 questions