최신CISI Investment Funds in Canada (IFC) - IFC무료샘플문제
문제1
Sagira is a Compliance Officer with WealthPath Investments Inc., a registered mutual fund dealer. Sagira routinely answers inquiries from the firm ' s Dealing Representatives and offers guidance.
Which of the following statements would Sagira likely agree is a permitted activity for Dealing Representatives to have with clients?
Sagira is a Compliance Officer with WealthPath Investments Inc., a registered mutual fund dealer. Sagira routinely answers inquiries from the firm ' s Dealing Representatives and offers guidance.
Which of the following statements would Sagira likely agree is a permitted activity for Dealing Representatives to have with clients?
정답: C
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문제2
Robin is preparing for a client meeting. She is gathering information about a mutual fund that she would like to recommend to her client. Which of the following documents would be considered sales communication?
Robin is preparing for a client meeting. She is gathering information about a mutual fund that she would like to recommend to her client. Which of the following documents would be considered sales communication?
정답: A
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문제3
What response would a loss-averse investor be most likely to choose in selecting a preferred investment return scenario?
What response would a loss-averse investor be most likely to choose in selecting a preferred investment return scenario?
정답: B
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문제4
What criteria is used to compare equity mutual funds and global bond funds to determine suitability?
What criteria is used to compare equity mutual funds and global bond funds to determine suitability?
정답: A
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문제5
David had $10,000 in his investment account with Dynamic Investments, a mutual funds dealer. On June 28, David wants to buy 500 units in ABC Canadian Dividend Fund that has a Net Asset Value Per Unit (NAVPU) of $14.10. His friend Robert suggests that he may get a better price if he used the strategy of dollar-cost averaging. David then instructs his Dealing Representative to place a purchase order for 100 units on the first of every month starting July 1st for the next 5 months.
The orders are executed at the following NAVPUs.
July 01, $14.00
Aug. 01, $14.50
Sep. 01, $15.00
Oct. 01, $14.25
Nov. 01, $16.50
Did David get a better purchase price following the dollar-cost averaging strategy compared to making a lump-sum purchase of 500 shares on Jun 28, 20xx?
David had $10,000 in his investment account with Dynamic Investments, a mutual funds dealer. On June 28, David wants to buy 500 units in ABC Canadian Dividend Fund that has a Net Asset Value Per Unit (NAVPU) of $14.10. His friend Robert suggests that he may get a better price if he used the strategy of dollar-cost averaging. David then instructs his Dealing Representative to place a purchase order for 100 units on the first of every month starting July 1st for the next 5 months.
The orders are executed at the following NAVPUs.
July 01, $14.00
Aug. 01, $14.50
Sep. 01, $15.00
Oct. 01, $14.25
Nov. 01, $16.50
Did David get a better purchase price following the dollar-cost averaging strategy compared to making a lump-sum purchase of 500 shares on Jun 28, 20xx?
정답: A
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문제6
Which document contains information regarding the Independent Review Committee compensation?
Which document contains information regarding the Independent Review Committee compensation?
정답: A
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문제7
What does a normal yield curve look like?
What does a normal yield curve look like?
정답: C
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문제8
A dealing representative explains the past performance of a mutual fund to a potential client, discussing the annual simple returns and compound returns that the fund had earned. She concluded by indicating she expects the fund's NAVPU was likely to rise at similar rates in the future, given the economic outlook. What unacceptable selling practice has occurred?
A dealing representative explains the past performance of a mutual fund to a potential client, discussing the annual simple returns and compound returns that the fund had earned. She concluded by indicating she expects the fund's NAVPU was likely to rise at similar rates in the future, given the economic outlook. What unacceptable selling practice has occurred?
정답: A
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문제9
What is a statistical measure of price fluctuation that illustrates how a stock ' s price fluctuates around its average?
What is a statistical measure of price fluctuation that illustrates how a stock ' s price fluctuates around its average?
정답: B
문제10
Which behavioural bias causes a person to rely on a "best-fit" process to form the basis for understanding a new circumstance?
Which behavioural bias causes a person to rely on a "best-fit" process to form the basis for understanding a new circumstance?
정답: B
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문제11
A 3-year, 3.25% coupon-paying bond sells for $95.72 (interest is paid semi-annually). Assuming the par value is $100, what is the yield to maturity of this bond (using the approximation formula and rounded to two decimal places)?
A 3-year, 3.25% coupon-paying bond sells for $95.72 (interest is paid semi-annually). Assuming the par value is $100, what is the yield to maturity of this bond (using the approximation formula and rounded to two decimal places)?
정답: D
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