Investment advice - Samenvattingen, Aantekeningen en Examens

SIE EXAM 2024 Questions and Answers Graded A+ When was the Federal Reserve Board created, and what was its purpose? The Federal Reserve Board was established on December 23, 1913, to manage financial crises. It operates independently of political influence, with the Federal Reserve Act aimed at maintaining price stability, ensuring full employment, and managing long-term interest rates. What are the main responsibilities of FINRA compared to the MSRB? FINRA regulates brokerage fir...

PVL3703 Assignment 3 (COMPLETE ANSWERS) Semester 1 2024 (576663) - DUE 23 April 2024 ;100% TRUSTED workings, explanations and solutions. for assistance Whats-App.......0.6.7..1.7.1..1.7.3.9....... Question 1 One of the attractions at Wonderland Zoo is a train ride that takes customers to and from different locations at the zoo. Sipho, the technician in charge of inspecting and maintaining the train, overlooks some signs that the train is no longer in sound condition. Avril goes for a ride on th...

HRM3703 Assignment 5 QUIZ (COMPLETE ANSWERS) Semester 2 2024 - DUE 11 October 2024; 100% TRUSTED Complete, trusted solutions and explanations. For assistance, Whats-App 0.6.7-1.7.1-1.7.3.9. Ensure your success with us.. Question 1 Not yet answered Marked out of 1.00 QUIZ HRSecure Ltd is integrating a new HRIS into its operations. How can HRSecure Ltd use the McCumber Cube framework toassess the security implications of this integration? Select one: by conducting regular vulnerability scan...

CONFIDENTIAL Page 7 of 10 LML4806 October/November 2024 QUESTION 1 [20] 1.1 You are approached by Stefan, the chairperson of the board of directors of JP Textiles Ltd for legal advice. He informs you that JP Textiles Ltd will be holding its fifth annual general meeting (AGM) next month at its registered office in Johannesburg. He further informs you that the board of directors is concerned that a significant number of the company’s shareholders and shareholder proxies who are bas...

AWMA Exam 3 Questions with Correct Answers The top three specialty areas in which high net worth individuals seek advice include all of the following except A)retirement planning. B)tax planning. C)estate planning. D)investment planning. - Answer-A) The top three specialty areas in which high net worth individuals seek advice are tax, estate, and investment planning. Retirement planning is not as necessary, but may be a minor concern. Mod 1 Concerning behavioral biases and as compare...

Under the DOL regulation, many advisors to retirement plans and their participants will be - ANSWER-3(21) fiduciaries. They will act alongside other fiduciary service providers who are also not necessarily named in the plan document but who exercise discretionary control over plan provisions or plan investments. The advisor should educate the - ANSWER-plan sponsor about hiring fiduciary service providers, including the different roles service providers, including the different roles service p...

LML4806 PORTFOLIO MEMO - OCT./NOV. 2023 - SEMESTER 2 - UNISA - DUE 3 NOVEMBER 2023 - DETAILED ANSWERS WITH FOOTNOTES & BIBLIOGRAPHY- DISTINCTION GUARANTEED! QUESTION 1 1.1 Briefly outline the values that are embodied in the African philosophy of ubuntu and discuss, with reference to the Companies Act 71 of 2008, whether the values of ubuntu have been infused in the law regulating companies in South Africa. (10) 1.2 The Memorandum of Incorporation of CH Adventures (Pty) Ltd (‘the Compa...

LML4806 Assignment 1 (DETAILED ANSWERS) Semester 2 2024 - DISTINCTION GUARANTEED - DISTINCTION GUARANTEED - DISTINCTION GUARANTEED Answers, guidelines, workings and references ..... Question: 1 Jane, John and Jabulani are the directors of Touring Africa by Bicycle (Pty) Ltd (“the company”), a company that is based in Johannesburg. The memorandum of incorporation of the company provides that only the board of directors have the authority to enter into contracts on behalf of the company. Jame...

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...

Explain the difference between a value chain and a supply chain. Provide specific examples from the operations of Toyota South Africa to illustrate the difference. In your answer, you should demonstrate a critical understanding of the interrelated activities involved in each chain and how they contribute to the creation and delivery of value to customers. As an expert in supply chain risk management, you have been tasked by Toyota South Africa to aid them in conducting an extensive risk asses...