Ifse - Study guides, Class notes & Summaries

Who's mandate is to protect inv fr unfair, improper or fraud practices to foster fair and efficient cap markets to reduce risks to market integrity and inv confidence - correct answer CSA-canadian securities administrators What reg body registers the co's and individuals that manage mutual fund portfolios established in their province or territory - correct answer Security Regulator Who is empowered by securities regulators to admit members,perform compliance reviews and enforce rule...

Apuntes sobre Ética y Legislación para preparar el EIR, apuntes actualizados del curso 2022-23, basados en los apuntes de la academia IFSES.

IFSE - CIFC - Unit 7 Correct Answers Latest Version 2024

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...

90-day training IFSE

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 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 ...

90-day training IFSE

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 Practice Complete Questions And Answers With Verified 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 ...