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Which of the following is generally associated with sales deferred (back end load) in a Mutual fund
Which of the following is generally associated with sales deferred (back end load) in a Mutual fundA . Fees charged on purchase of a mutual fundB . Fees changed on sale of mutual fundC . Fees charge ever year as a compensation for fund managers and administrationD . Fees charged...
Which of the following transaction is not shown in T3/ T5 document
Which of the following transaction is not shown in T3/ T5 documentA . Harry sells his fund units at 15 NAVPS, cost of acquisition was 11 NAVPSB . Fund makes a distribution of 1 dollar in interest incomeC . Fund makes a distribution of 6 dollars in capital gainsD ....
Which courses fall under the educational qualification needed to be a mutual fund dealer
Which courses fall under the educational qualification needed to be a mutual fund dealerA . Investment fund in Canada and Canadian securities courseB . Associate Financial plannerC . Chartered financial analystD . Certified Financial plannerView AnswerAnswer: A
Which of the following risk is reduced by diversification
Which of the following risk is reduced by diversificationA . Unique riskB . Interest rate riskC . Exchange rate riskD . Default riskE . Market riskView AnswerAnswer: A
Which of the following risk is generally associated with " Changes in relative value of the currencies of the countries on investment "
Which of the following risk is generally associated with " Changes in relative value of the currencies of the countries on investment "A . Default riskB . Exchange rate riskC . Unique riskD . Market riskE . Interest rate riskView AnswerAnswer: B
Which of the following is not one of the common infractions related to vulnerable clients
Which of the following is not one of the common infractions related to vulnerable clientsA . NAAF updates to justify tradingB . Accepting trading instruction from unauthorized relative of clientC . Avoiding front running the client by putting client interest firstD . Investment objectives that benefit the estate than the...
Based on Philosophies of Fixed Income investing the statement " Investors move between long term and very short term T- Bills based on their forecast of risk free rate " is most likely associated with
Based on Philosophies of Fixed Income investing the statement " Investors move between long term and very short term T- Bills based on their forecast of risk free rate " is most likely associated withA . Interest rate AnticipationB . Sector tradingC . Security selectionD . Value investingView AnswerAnswer: A
All else being equal, which of the following mutual funds would Harry most likely choose
All else being equal, which of the following mutual funds would Harry most likely chooseA . Fund A- MER 0.5 %B . Fund D- MER 0.25 %C . Fund B- MER - 2 %D . Fund C- MER 1.5 %View AnswerAnswer: B
Harry is a new Mutual fund dealer, he selectively leaves out one year of bad performance while reporting performance to his client. He is most likely in breach of
Harry is a new Mutual fund dealer, he selectively leaves out one year of bad performance while reporting performance to his client. He is most likely in breach ofA . ProfessionalismB . ComplianceC . ConfidentialityD . IntegrityE . Duty of careView AnswerAnswer: D
" Ensuring that all documents and other required information are prepared in accordance with requirement and provided to the appropriate parties in timely manner " is most likely related to which of the powers of securities administrators
" Ensuring that all documents and other required information are prepared in accordance with requirement and provided to the appropriate parties in timely manner " is most likely related to which of the powers of securities administratorsA . RegistrationB . EnforcementC . ResindingD . DisclosureView AnswerAnswer: D
