Cifs - 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...

IFSE - CIFC Practice Questions and Answers 100% Pass 1. To whom are you permitted to make an unsolicited telephone call to market new products ("cold-call") if they have signed up on the National Do Not Call List (DNCL)? someone with whom you already have a business relationship Which of the following statements about Mutual Fund Dealers Association of Canada (MFDA) is CORRECT? It is a self-regulatory organization for the distribution side of the Canadian mutual funds industry. What is the ...

IFSE - CIFC - Unit 5 Questions and Answers Graded A Mutual Funds Investments that hold a collection of different securities such as equities and bonds. Holdings Collectively, the securities in a mutual fund The 3 main investment objectives 1. Safety of Principal 2. Income 3. Growth Safety of Principal Strive to protect investors from losing any of their original investment. Investors expect to get back at a minimum the amount of money they put into the investment. Income Provide investors wi...

IFSE - CIFC - Unit 8 Latest Update Graded A Mutual Fund Corporation - investors are shareholders - board of directors governs the fund - board of directors are elected by the shareholders at the fund's annual general meeting Mutual Fund Trust - investors are unit-holders - no board of directors. Governed by trusts or trustees - unit-holders don't have authority to appoint trustees Mutual Funds Complex - mutual fund manager - portfolio manager - custodian - distributor - transfer agent - inde...

1. To whom are you permitted to make an unsolicited telephone call to market new products ("cold-call") if they have signed up on the National Do Not Call List (DNCL)? - correct answer someone with whom you already have a business relationship Which of the following statements about Mutual Fund Dealers Association of Canada (MFDA) is CORRECT? - correct answer It is a self-regulatory organization for the distribution side of the Canadian mutual funds industry. What is the role of the ...

IFSE - CIFC Practice |100 Questions| With Complete Solutions, Graded A+!!

IFSE - CIFC PRACTICE EXAM WITH QUESTIONS AND ANSWERS ...

1. To whom are you permitted to make an unsolicited telephone call to market new products ("cold-call") if they have signed up on the National Do Not Call List (DNCL)? - ️️someone with whom you already have a business relationship Which of the following statements about Mutual Fund Dealers Association of Canada (MFDA) is CORRECT? - ️️It is a self-regulatory organization for the distribution side of the Canadian mutual funds industry. What is the role of the Ombudsman for Banking ...

IFSE - CIFC PRACTICE EXAM | QUESTIONS & ANSWERS (VERIFIED) | LATEST UPDATE | GRADED A+ IFSE - CIFC PRACTICE EXAM | QUESTIONS & ANSWERS (VERIFIED) | LATEST UPDATE | GRADED A+

IFSE - CIFC Practice |100 Questions| With Complete Solutions, Graded A+ 1. To whom are you permitted to make an unsolicited telephone call to market new products ("cold-call") if they have signed up on the National Do Not Call List (DNCL)? -Answer- someone with whom you already have a business relationship Which of the following statements about Mutual Fund Dealers Association of Canada (MFDA) is CORRECT? -Answer-It is a self-regulatory organization for the distribution side of the Cana...