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Iaccp exam qa - Study guides, Class notes & Summaries

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IACCP-Exam QA 2023 Questions and ANSWERS 100% Correct Answers

  • IACCP-Exam QA 2023 Questions and ANSWERS 100% Correct Answers

  • Exam (elaborations) • 10 pages • 2023
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    • IACCP-Exam QA 2023 Questions and ANSWERS 100% Correct Answers elements of "investment advice" – ANSWER 1. Advice about market trends 2. Advice in historical or data form 3. Advice about selecting an adviser 4. Advice about the pros and cons of securities vs. other investments What is the RAUM threshold for Registered Advisers? - ANSWER $150 million What is the RAUM range of a "Mid Sized adviser"? - ANSWER $25-100 million
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IACCP-Exam QA 2022

  • IACCP-Exam QA 2022

  • Exam (elaborations) • 4 pages • 2022
  • 4 elements of "investment advice" - ANSWER 1. Advice about market trends 2. Advice in historical or data form 3. Advice about selecting an adviser 4. Advice about the pros and cons of securities vs. other investments What is the RAUM threshold for Registered Advisers? - ANSWER $150 million What is the RAUM range of a "Mid Sized adviser"? - ANSWER $25-100 million What two factors determine whether mid size advisers are required to register? - ANSWER 1. Mid size advisers have to re...
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