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Harry has decided to invest 500 in an index fund tracking SAP 500 every month, he is most likely following
Harry has decided to invest 500 in an index fund tracking SAP 500 every month, he is most likely followingA . Fixed dollar withdrawalB . One time investmentC . Dollar cost averagingD . Ratio WithdrawalView AnswerAnswer: C
Harry is invested in a short term government debt, which of the following index is most like suitable for measuring his performance
Harry is invested in a short term government debt, which of the following index is most like suitable for measuring his performanceA . SAP / TSX 60B . SAP 500C . FTSE Canada 91 days T - bills indexD . S&P / tsx compositeE . MSCI canada ESG Leaders IndexF...
Harry has made a promise of 12% annual returns to his clients, is usually a breach of which of the following prohibited practices
Harry has made a promise of 12% annual returns to his clients, is usually a breach of which of the following prohibited practicesA . Promising a future priceB . Quoting a future priceC . Offer to repurchaseD . Selling without being registeredE . Provision on non monetary benefitsF . Advertising...
Which of the following risk is reduced by avoiding to specialize in corporate bonds
Which of the following risk is reduced by avoiding to specialize in corporate bondsA . Unique riskB . Exchange rate riskC . Default riskD . Interest rate riskE . Market riskView AnswerAnswer: C
" Having to subpoena witnesses, seize documents for examination and operate as administrative tribunals " is most likely related to which of the powers of securities administrators
" Having to subpoena witnesses, seize documents for examination and operate as administrative tribunals " is most likely related to which of the powers of securities administratorsA . EnforcementB . RegistrationC . ResindingD . DisclosureView AnswerAnswer: A
Harry who is conservative investor wants to minimize volatility, which fund amongst the below options will he most likely choose
Harry who is conservative investor wants to minimize volatility, which fund amongst the below options will he most likely chooseA . B - standard deviation 2B . D standard deviation 7C . C- Standard deviation 10D . A- Standard deviation 5View AnswerAnswer: A
Calculate the reward to risk ratio of ABC fund which had a return of 10% and standard deviation of 5.5%. The risk free rate was 3%.
Calculate the reward to risk ratio of ABC fund which had a return of 10% and standard deviation of 5.5%. The risk free rate was 3%.A . 4.5B . 1.27C . 3.33D . 1.81View AnswerAnswer: D
Harry is a new Mutual fund dealer, he is advising Caitlin on covered call mutual funds, he puts his commissions at the forefront while suggesting her products. He is most likely in breach of
Harry is a new Mutual fund dealer, he is advising Caitlin on covered call mutual funds, he puts his commissions at the forefront while suggesting her products. He is most likely in breach ofA . ConfidentialityB . Duty of careC . ComplianceD . ProfessionalismE . IntegrityView AnswerAnswer: E
Which of the following is usually associated with "implicit cot of the fund "
Which of the following is usually associated with "implicit cot of the fund "A . Frequent trading feesB . Redemption feeC . Account closing feeD . Trustee feeE . Acquisition feeF . Trading expense ratioG . Management Expense RatioH . Transfer feeView AnswerAnswer: F
Harry is a Mutual fund dealer, commingled his clients assets with his assets, which was in violation of SRO rules. He is most likely in breach of
Harry is a Mutual fund dealer, commingled his clients assets with his assets, which was in violation of SRO rules. He is most likely in breach ofA . ProfessionalismB . IntegrityC . Duty of careD . ComplianceE . ConfidentialityView AnswerAnswer: D
