NEW CIFC TEST PAPERS, CIFC NEW DUMPS FILES

New CIFC Test Papers, CIFC New Dumps Files

New CIFC Test Papers, CIFC New Dumps Files

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Updated CIFC - New Canadian Investment Funds Course Exam Test Papers

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IFSE Institute Canadian Investment Funds Course Exam Sample Questions (Q175-Q180):

NEW QUESTION # 175
Which of the following applies to a mutual fund trust?

  • A. It is always closed-end.
  • B. It is not efficient at passing through income to investors.
  • C. It has unitholders.
  • D. It has a board of directors and shareholders.

Answer: C

Explanation:
Explanation
A mutual fund trust is a type of unit trust that meets certain conditions under the Canadian Income Tax Act and is eligible for favourable tax treatment. A unit trust is a collective investment vehicle that holds assets and distributes profits to individual unit owners, also called unitholders, instead of reinvesting them in the fund. A mutual fund trust is not a corporation and does not have a board of directors or shareholders. It is also not a closed-end fund, which has a fixed number of shares that trade on an exchange. A mutual fund trust is an open-end fund, which can issue and redeem units at any time based on the net asset value of the fund.
References: Canadian Investment Funds Course, Unit 5, Section 5.1


NEW QUESTION # 176
Daisy is a Dealing Representative registered in the province of Saskatchewan only. Daisy's client, Orville, a resident of Lloydminster, Saskatchewan is a retiree who presently has a $1,000,000 with her dealer, Easy Ride Financial. Orville is now planning to move to Vegreville, Alberta next month. Easy Ride Financial is registered in Alberta and Saskatchewan. Neither Easy Ride Financial nor Daisy have any clients who are resident in Alberta.
Which of the following should Daisy do if she wants to continue to service Orville's account?

  • A. Daisy will need to forfeit her registration in Saskatchewan if she wants to be registered in Alberta to keep Orville as a client.
  • B. Register with a different mutual fund dealer that is registered in Alberta so she can keep Orville as a client.
  • C. Daisy could seek permission from her dealer to request a client mobility exemption with the Alberta Securities Commission.
  • D. Request approval from the Mutual Fund Dealers Association of copyright to be eligible to be a registered Dealing Representative in Alberta

Answer: C


NEW QUESTION # 177
Ai Fen has recently become registered to sell mutual funds with Acadian Eastern Financial, a mutual fund dealer. Ai Fen determined that with her background of being a Chartered Financial Analyst, she can help people understand the nature of investing more easily than others in her field.
Which registration category will need to be prominently noted on Ai Fen's business card to comply with the
"holding out rule"?

  • A. Chartered Financial Analyst
  • B. Dealing Representative
  • C. Investment Representative
  • D. Registered Representative

Answer: B

Explanation:
Explanation
The holding out rule is a regulatory requirement that prohibits registered individuals from using any title or designation other than their registration category when dealing with clients or potential clients. The purpose of this rule is to prevent misleading or confusing representations about the qualifications, roles, and responsibilities of registered individuals. According to Section 4.4 of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations (NI 31-103), individuals who are registered to sell mutual funds must use the title "dealing representative" when holding out to clients or potential clients.
Therefore, Ai Fen must prominently note "dealing representative" on her business card to comply with the holding out rule. The other options are not valid registration categories for selling mutual funds. Option B is a generic term that does not specify the type of securities that can be sold. Option C is a registration category for individuals who trade securities on behalf of an investment dealer. Option D is a professional designation that does not indicate registration status. References: [Holding Out Rule], [Registration Categories], [Registration Requirements, Exemptions and Ongoing Registrant Obligations]


NEW QUESTION # 178
When you buy a put option, which of the following is TRUE?

  • A. You have the right to sell a set number of shares at a set price.
  • B. You have the obligation to sell a set number of shares at a set price.
  • C. You have the obligation to buy a set number of shares at a set price.
  • D. You have the right to purchase a set number of shares at a set price.

Answer: A


NEW QUESTION # 179
Pierre buys a call option on a stock. What is the implication of this transaction?

  • A. Pierre has the right to buy the stock if he exercises the option.
  • B. Pierre is obligated to sell the stock if the option is exercised.
  • C. Pierre has the right to sell the stock if he exercises the option.
  • D. Pierre is obligated to buy the stock if the option is exercised.

Answer: A


NEW QUESTION # 180
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