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IFSE - CIFC - Unit 1 UPDATED Questions and CORRECT Answers
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IFSE - CIFC - Unit 1 UPDATED Questions and CORRECT Answers CSA - CORRECT ANSWER- National Instruments are developed through? MFDA - CORRECT ANSWER- With which organization must mutual fund dealers (outside of Quebec) register? MFDA - CORRECT ANSWER- Which organization operates the Investor P...

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  • November 17, 2024
  • 3
  • 2024/2025
  • Exam (elaborations)
  • Questions & answers

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  • IFSE - CIFC
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IFSE - CIFC - Unit 1 UPDATED Questions
and CORRECT Answers
CSA - CORRECT ANSWER✔✔- National Instruments are developed through?



MFDA - CORRECT ANSWER✔✔- With which organization must mutual fund dealers
(outside of Quebec) register?


MFDA - CORRECT ANSWER✔✔- Which organization operates the Investor Protection
Corporation (IPC)?


NI 31-103 - CORRECT ANSWER✔✔- Registration Requirements and Exemptions provides
the harmonized registration rules for the registration of firms and individuals with the
provincial or territorial securities commissions


NI 81-101 - CORRECT ANSWER✔✔- Mutual Fund Prospectus Disclosure ensures that
mutual funds disclose the info that investors should consider when deciding whether to
invest, or remain invested, in a fund.


It prescribed the content of key disclosure documents including the simplified prospectus, the
fund facts document, and the annual info form


NI 81-102 - CORRECT ANSWER✔✔- Mutual Funds is the main instrument regulating
mutual funds. It regulates how mutual funds are managed, bought and sold


NI 81-105 - CORRECT ANSWER✔✔- Mutual Fund Sales Practices ensures that mutual
funds are sold on the basis of what is suitable for, and in the best interests of, investors.


It sets minimum standards of conduct to be followed by managers, principal distributors,
registered dealers and dealing representatives when distributing mutual funds


PCMLTFA - CORRECT ANSWER✔✔- Proceeds of Crime (Money Laundering) and
Terrorist Financing Act - combats the laundering and and the financing of terrorist activities

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