Canadian securities csc - Study guides, Class notes & Summaries

Canadian Securities (CSC) Test #1 –Q/A

Retail firms - full service and discount brokerage firms for individuals. Institutional firms - includes pension funds, mutual funds, and insurance companies. Integrated firms - contains all aspects of retail and institutional firms. Front office - in charge of portfolio management, marketing, sales, and trading. Middle office - in charge of compliance, accounting, audits, and legal. Back office - in charge of settlements and clearing. Schedule I banks - large domestic banks. There are own...

The document provides a comprehensive overview of the Canadian Securities Course exam, detailing various concepts and practices related to investment dealers, bank types, market structures, financial regulations, and monetary policies in Canada. It outlines the roles and services of investment dealers, characterizes different types of banks, explains aspects of market making, and delves into the regulatory framework governing the financial sector, including investor protection and the functions ...

Canadian Securities (CSC) Test #1 Exam Questions And Answers 2023

1. The CPI was 123.5 in the previous period and 128.6 in the current period. Calculate the approximate inflation rate during this period. Studen t Respon se Valu Corre e ct Answ er Feedback A. 3.97% 4.13% B. 100% C. 5.10% D. 6.05% General Feedbac k: The rate if found by (CPI current minus CPI previous)/CPI previous × 100. For this example question: (128.6 – 123.5)/ 123.5 x 100 = 4.13. Text reference: Chapter 4: Economic Principles. Score: 1/1 2. Which equity ind...

Canadian Securities (CSC) Test #1 Questions And Answers 100% Pass Retail firms - answerfull service and discount brokerage firms for individuals. Institutional firms - answerincludes pension funds, mutual funds, and insurance companies. Integrated firms - answercontains all aspects of retail and institutional firms. Front office - answerin charge of portfolio management, marketing, sales, and trading. Middle office - answerin charge of compliance, accounting, audits, and legal. Back offic...

CPH Exam 230 Questions with Verified Answers When are suitability requirements not applicable? - CORRECT ANSWER For brokers who do not provide investment advice or operate as a separate legal entity How is a new product approved? - CORRECT ANSWER After review from the New product Committee What are the ethical principles for a code of ethics? - CORRECT ANSWER Trust, integrity, justice, fairness, and honesty What are the 5 Standards of Conduct? - CORRECT ANSWER Duty of Care, Tru...

Agent - When a broker acts as a _________, it acts for or on behalf of a buyer or a seller, but does not itself own title to the securities at any time during the transaction Capital Markets - Markets that trade debt (bonds) and equity (stock) instruments with maturities of more than one year Self-regulatory organizations - Responsible for setting the rules that govern many aspects of investment dealers' operations, including sales, finance, and trading. Investment dealers - Act as interm...

CSC Questions and Answers capital wealth in the form of material things such as land and buildings, and representational things like money stocks and bonds debt instrument issuer promises to repay loan at maturity and makes interest payments. Bonds, Debentures, Mortgages, Treasury Bills and Commercial Paper. Previous Play Next Rewind 10 seconds Move forward 10 seconds Unmute 0:01 / 0:15 Full screen Brainpower Read More equity instruments ownership stake in a compa...