Ifse Study guides, Class notes & Summaries

IFSE Unit 1 Questions and Answers Graded A A Provincial and Territorial Regulator, administers jurisdiction's Securities Act or equivalent legislation The Securities Commission National Regulator, The _________ mandate consists of three goals: •to protect investors from unfair, improper, or fraudulent practices •to foster fair and efficient capital markets •to reduce risks to the market's integrity, and to investor confidence in the markets _________ pursues these goals through a ...

IFSE - CIFC - Unit 5 Questions and Answers Graded A Mutual Funds Investments that hold a collection of different securities such as equities and bonds. Holdings Collectively, the securities in a mutual fund The 3 main investment objectives 1. Safety of Principal 2. Income 3. Growth Safety of Principal Strive to protect investors from losing any of their original investment. Investors expect to get back at a minimum the amount of money they put into the investment. Income Provide investors wi...

IFSE - CIFC - Unit 8 Latest Update Graded A Mutual Fund Corporation - investors are shareholders - board of directors governs the fund - board of directors are elected by the shareholders at the fund's annual general meeting Mutual Fund Trust - investors are unit-holders - no board of directors. Governed by trusts or trustees - unit-holders don't have authority to appoint trustees Mutual Funds Complex - mutual fund manager - portfolio manager - custodian - distributor - transfer agent - inde...

IFSE - CIFC Practice questions with complete solutions 1. To whom are you permitted to make an unsolicited telephone call to market new products ("cold-call") if they have signed up on the National Do Not Call List (DNCL)? -Correct Answer-someone with whom you already have a business relationship Which of the following statements about Mutual Fund Dealers Association of Canada (MFDA) is CORRECT? -Correct Answer-It is a self-regulatory organization for the distribution side of the Canadian ...

1. To whom are you permitted to make an unsolicited telephone call to market new products ("cold-call") if they have signed up on the National Do Not Call List (DNCL)? - correct answer someone with whom you already have a business relationship Which of the following statements about Mutual Fund Dealers Association of Canada (MFDA) is CORRECT? - correct answer It is a self-regulatory organization for the distribution side of the Canadian mutual funds industry. What is the role of the ...

IFSE Exam |80| questions well solved To whom are you permitted to make an unsolicited telephone call to market new products ("cold-call") if they have signed up on the National Do Not Call List (DNCL)? -Correct Answer-someone with whom you already have a business relationship Which of the following statements about Mutual Fund Dealers Association of Canada (MFDA) is CORRECT? -Correct Answer-It is a self-regulatory organization for the distribution side of the Canadian mutual funds industry...

IFSE - CIFC Practice |100 Questions| With Complete Solutions, Graded A+ 1. To whom are you permitted to make an unsolicited telephone call to market new products ("cold-call") if they have signed up on the National Do Not Call List (DNCL)? -Answer- someone with whom you already have a business relationship Which of the following statements about Mutual Fund Dealers Association of Canada (MFDA) is CORRECT? -Answer-It is a self-regulatory organization for the distribution side of the Cana...

IFSE - CIFC - Unit 5 exam with verified answers Mutual Funds -Correct Answer-Investments that hold a collection of different securities such as equities and bonds. Holdings -Correct Answer-Collectively, the securities in a mutual fund The 3 main investment objectives -Correct Answer-1. Safety of Principal 2. Income 3. Growth Safety of Principal -Correct Answer-Strive to protect investors from losing any of their original investment. Investors expect to get back at a minimum the amoun...

To whom are you permitted to make an unsolicited telephone call to market new products ("cold-call") if they have signed up on the National Do Not Call List (DNCL)? - correct answer someone with whom you already have a business relationship Which of the following statements about Mutual Fund Dealers Association of Canada (MFDA) is CORRECT? - correct answer It is a self-regulatory organization for the distribution side of the Canadian mutual funds industry What is the role of the Ombu...

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