Ifse cifc unit 2 - Study guides, Class notes & Summaries
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IFSE - CIFC - Unit 2 exam questions with correct answers
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IFSE - CIFC - Unit 2 exam questions with correct answers 
Ethical Conduct -Correct Answer-Adheres to approved standards 
 
CCO (Chief Compliance Officer) -Correct Answer-Responsible for establishing and maintaining compliance policies and procedures as well as monitoring and assessing compliance. Must submit an annual report to the board of directors detailing the compliance assessment. 
 
CRM (Client Relationship Model) -Correct Answer-- Relationship disclosure 
- Client communications 
- Clie...
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IFSE - CIFC - Unit 3 questions with answers
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IFSE - CIFC - Unit 3 questions with answers 
6 steps of SIP (Strategic Investment Planning) process -Correct Answer-1. Establish the client engagement 
2. Gather client data and identify objectives 
3. Clarify client status, problems, and opportunities 
4. Identify strategies and present the plan 
5. Implement the plan 
6. Monitor performance and update 
 
Step 1 SIP - Establish client engagement -Correct Answer-- your duties and responsibilities 
- your client's duties and responsibilities ...
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IFSE - CIFC - Unit 1 Questions and Answers 100% Pass
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IFSE - CIFC - Unit 1 Questions and Answers 100% Pass National Instruments are developed through? CSA 
With which organization must mutual fund dealers (outside of Quebec) register? MFDA 
Which organization operates the Investor Protection Corporation (IPC)? MFDA 
Registration Requirements and Exemptions provides the harmonized registration rules for the registration of firms and individuals with the provincial or territorial securities commissions NI 31-103 
Mutual Fund Prospectus Disclosure ens...
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IFSE - CIFC - Unit 1 exam solved 100%
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IFSE - CIFC - Unit 1 exam solved 100% 
National Instruments are developed through? -Correct Answer-CSA 
 
With which organization must mutual fund dealers (outside of Quebec) register? -Correct Answer-MFDA 
 
Which organization operates the Investor Protection Corporation (IPC)? -Correct Answer-MFDA 
 
Registration Requirements and Exemptions provides the harmonized registration rules for the registration of firms and individuals with the provincial or territorial securities commissions -Correct...
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IFSE - CIFC - Unit 8 Latest Update Graded A
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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...
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IFSE - CIFC - Unit 5 Questions and Answers Graded A
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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...
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IFSE - CIFC - Unit 2 | Questions with 100% correct Answers | verified
- Exam (elaborations) • 3 pages • 2023
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Ethical Conduct - Adheres to approved standards 
CCO (Chief Compliance Officer) - Responsible for establishing and maintaining compliance policies 
and procedures as well as monitoring and assessing compliance. Must submit an annual report to the 
board of directors detailing the compliance assessment. 
CRM (Client Relationship Model) - - Relationship disclosure 
- Client communications 
- Client reporting 
Relationship Disclosure (NI 31-103) - Requires mutual fund dealers to provide written dis...
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