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IFSE - CIFC - Unit 1 Correct Answers Latest Version 2024
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IFSE - CIFC - Unit 1 Correct Answers Latest Version 2024
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IFSE - CIFC - Unit 1 Correct Answers LatestVersion 2024
CSA Answer: National Instruments are developed through?
MFDA Answer: With which organization must mutual fund dealers (outside of Quebec) register?
MFDA Answer: Which organization operates the Investor Protection Corporation (IPC)?
NI 31-103 Answer: Registration Requirements and Exemptions provides the harmonized registration
rules for the registration of firms and individuals with the provincial or territorial securities commissions
NI 81-101 Answer: Mutual Fund Prospectus Disclosure ensures that mutual funds disclose the info
that investors should consider when deciding whether to invest, or remain invested, in a fund.
It prescribed the content of key disclosure documents including the simplified prospectus, the fund facts
document, and the annual info form
NI 81-102 Answer: Mutual Funds is the main instrument regulating mutual funds. It regulates how
mutual funds are managed, bought and sold
NI 81-105 Answer: Mutual Fund Sales Practices ensures that mutual funds are sold on the basis of
what is suitable for, and in the best interests of, investors.
It sets minimum standards of conduct to be followed by managers, principal distributors, registered
dealers and dealing representatives when distributing mutual funds
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