Ifse unit 1 Study guides, Class notes & Summaries

IFSE - CIFC - Unit 2 Latest Update Graded A 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 fun...

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...

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 ...

The Securities Commission - correct answer A Provincial and Territorial Regulator, administers jurisdiction's Securities Act or equivalent legislation Canadian Securities Administrators (CSA) - correct answer 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 ...

The Securities Commission - A Provincial and Territorial Regulator, administers jurisdiction's Securities Act or equivalent legislation Canadian Securities Administrators (CSA) - 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 ...

IFSE Unit 1 Quizzes & Ans…

IFSE Unit 1

IFSE Unit 1

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...