General advisors act - Study guides, Class notes & Summaries

MRL3702 OCTOBER / NOVEMBER 2024 EXAM QUESTIONS AND ANSWERS The four methods by which trade unions can acquire organisational rights - Answer️️ - 1. Through collective agreement - This means that, even if the trade union is not representative, it could have organisational rights on which the parties agreed. 2. Through membership of a bargaining council - A registered trade union that is party to a bargaining council, automatically acquires the two rights of access to the premises and t...

Under the DOL regulation, many advisors to retirement plans and their participants will be - ANSWER-3(21) fiduciaries. They will act alongside other fiduciary service providers who are also not necessarily named in the plan document but who exercise discretionary control over plan provisions or plan investments. The advisor should educate the - ANSWER-plan sponsor about hiring fiduciary service providers, including the different roles service providers, including the different roles service p...

Under the DOL regulation, many advisors to retirement plans and their participants will be - Answer- 3(21) fiduciaries. They will act alongside other fiduciary service providers who are also not necessarily named in the plan document but who exercise discretionary control over plan provisions or plan investments. The advisor should educate the - Answer- plan sponsor about hiring fiduciary service providers, including the different roles service providers, including the different roles service...

SECTION 1 1.The point of departure for every law student is an understanding of the concept of law. 1.1 Explain the difference between law and morality or religion (3) The Law is the system of legal rules recognised and enforced by the government to control human behaviour. It has the following characteristics: System of rules Intended to control human behaviour Should be recognised by the state Enforced by the state On the other hand morality or religion refers to the pri...

IACCP 2 General Advisors Act 2023 QUESTIONS & ANSWERS ( A+ GRADED 100% VERIFIED)

Commodity Trading advisors Family Offices Intrastate advisor ANSWER-An advisor whose clients are within the same state as the adviser’s principal business office AND that does not provide advice or issue reports about securities listed on any national exchange What is the registration AUM threshold for private fund advisors? ANSWER-$150 million Private Fund Advisor ANSWER-1) All clients that are US persons are Qualifying Private funds and 2) all assets it manages at any place of ...

IACCP 2 (General Advisors Act) 2023 Q Questions and Answers Investment Adviser - ANSWER Person or entity that is in the business of providing investment advice about securities Fiduciary - ANSWER an investment adviser owes its clients undivided loyalty and may not engage in activity that conflicts with a client's interest without the client's consent Who is required to register with the SEC? - ANSWER 1) an investment advisor under Section 202(a)(11) of the Advisors Act 2) Not excepte...

Investment Advisor correct answers "any person who, for compensation, engages in the business of advising others, either directly or through publications or writings, as to the value of securities or as to the advisability of investing in, purchasing, or selling securities, or who, for compensation and as a part of a regular business, issues or promulgates analyses or reports concerning securities." administrator correct answers The administrator has jurisdiction over the registration o...

RSK 4802 EXAM PACK 2022 JANUARY /FEBRUARY 2016 QUESTION1.1 ai) Risk management is an important process because it empowers a business with the necessary tools so that it can adequately identify and deal with potential risks. Once a risk has been identified, it is then easy to mitigate it. In addition, risk management provides a business with a basis upon which it can undertake sound decision-making. -For a business, assessment and management of risks is the best way to prepare for even...

NP Role Final Exam 159 Questions with Verified Answers In which specialty are most nurse practitioners educated? Peds Primary care Family Adult gerontology - CORRECT ANSWER primary care Which factor represents a potential barrier to Nurse Practitioner's practice in a primary care setting? Cost effectiveness Professional growth Aging baby boomers Collaboration agreements - CORRECT ANSWER Collaboration agreements Distinguish among the advanced practice registered nursing (APRN...