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Which of the following is not part of Duty of care primary value
Which of the following is not part of Duty of care primary valueA . Know your clientB . Unsolicited ordersC . Respect for clients assetsD . Due diligenceView AnswerAnswer: C
If the NAV of a mutual fund is 15 and the front end load is 5%, what is the purchase price per unit
If the NAV of a mutual fund is 15 and the front end load is 5%, what is the purchase price per unitA . 14.25B . 15.79C . 15D . 15.75View AnswerAnswer: B
All mutual fund dealers except from ___ are required to be part of MFDA
All mutual fund dealers except from ___ are required to be part of MFDAA . AlbertaB . OntarioC . British ColumbiaD . QuebecView AnswerAnswer: D
Which of the following is not part of Professionalism primary value
Which of the following is not part of Professionalism primary valueA . Client ordersB . Client BusinessC . Other personal endeavorsD . Personal financial dealings with clientsE . Personal businessF . Trades by registered and approved individualsG . Client information and use of confidential informationView AnswerAnswer: G
Harry is invested in a mix of bonds of canadian governments and corporations, which of the following index is most like suitable for measuring his performance
Harry is invested in a mix of bonds of canadian governments and corporations, which of the following index is most like suitable for measuring his performanceA . MSCI World ESG IndexB . SAP 500C . MSCI canada ESG Leaders IndexD . S&P / tsx compositeE . FTSE Canada Universe bond...
Which of the following is usually associated with "trading of units beyond limited numbers of trades mentioned in the fund "
Which of the following is usually associated with "trading of units beyond limited numbers of trades mentioned in the fund "A . Frequent trading feesB . Account closing feeC . Acquisition feeD . Redemption feeE . Management feeF . Trustee feeG . Transfer feeView AnswerAnswer: A
MFDA investor protection fund has a coverage of ____ per customer account
MFDA investor protection fund has a coverage of ____ per customer accountA . 3000000B . 1000000C . 2000000D . 500000View AnswerAnswer: B
Harry is a new Mutual fund dealer, he is advising Caitlin on covered call mutual fund, he suggested she buy a mutual fund in which his partner is the fund manager and has higher fees. He is most likely in breach of
Harry is a new Mutual fund dealer, he is advising Caitlin on covered call mutual fund, he suggested she buy a mutual fund in which his partner is the fund manager and has higher fees. He is most likely in breach ofA . Duty of careB . ProfessionalismC . IntegrityD...
Harry has just cleared the IFIC exam but is not registered yet, he starts recommending mutual funds to his friends, is usually a breach of which of the following prohibited practices
Harry has just cleared the IFIC exam but is not registered yet, he starts recommending mutual funds to his friends, is usually a breach of which of the following prohibited practicesA . Offer to repurchaseB . Promising a future priceC . Provision on non monetary benefitsD . Selling without being...
Based on Philosophies of equity investing the statement " Investors seek companies in sectors entering a period of expansion, which have limited competition, high quality of R And D, low labor cost and strong return on invested capital. They usually show above normal earnings growth " is most likely associated with
Based on Philosophies of equity investing the statement " Investors seek companies in sectors entering a period of expansion, which have limited competition, high quality of R And D, low labor cost and strong return on invested capital. They usually show above normal earnings growth " is most likely associated...
