Ifse cifc unit 3 - 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 - Unit 1-unit 10 Combined Quizzes 2024/2025 with complete solution IFSE - CIFC - Unit 1-unit 10 Combined Quizzes 2024/2025 with complete solution IFSE - CIFC - Unit 1 IFSE - CIFC - Unit 2 IFSE - CIFC - Unit 3 IFSE - CIFC - Unit 4 IFSE - CIFC - Unit 5 IFSE - CIFC - Unit 6 IFSE - CIFC - Unit 7 IFSE - CIFC - Unit 8 IFSE - CIFC - Unit 9 IFSE - CIFC - Unit 10

IFSE - CIFC - Unit 5 exam with verified answers Mutual Funds -Correct Answer-Investments that hold a collection of different securities such as equities and bonds. Holdings -Correct Answer-Collectively, the securities in a mutual fund The 3 main investment objectives -Correct Answer-1. Safety of Principal 2. Income 3. Growth Safety of Principal -Correct Answer-Strive to protect investors from losing any of their original investment. Investors expect to get back at a minimum the amoun...

IFSE - CIFC - Unit 6 exam solved 100% Where and when was the first mutual fund created? -Correct Answer-Netherlands late 1700s After the Netherlands, to which countries did mutual funds spread? -Correct Answer-England, France, USA (1800s) When was the first open-end mutual fund created in the USA? -Correct Answer-1924 When was the first Canadian mutual fund established (CI Canadian Investment Fund)? -Correct Answer-1932 Which years in mutual fund history had huge economic downturns?...

IFSE - CIFC - Unit 3

IFSE - CIFC - Unit 3

IFSE - CIFC - Unit 4 exam solved 100% 3 Common Economic Indicators -Correct Answer-1. Gross Domestic Product (GDP) 2. Inflation Rate 3. Unemployment Rate Gross Domestic Product (GDP) -Correct Answer-A measure of the total market value of all the final goods and services produced in the economy in a year. Measured in dollars. Consumer Price Index (CPI) -Correct Answer-a measure of the overall cost of about 600 goods and services bought by a typical consumer. Calculated in relation to a b...

IFSE - CIFC - Unit 3 Suitability.

IFSE - CIFC - Unit 2 exam questions with correct answers Ethical Conduct -Correct Answer-Adheres to approved standards CCO (Chief Compliance Officer) -Correct Answer-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) -Correct Answer-- Relationship disclosure - Client communications - Clie...

IFSE - CIFC - Unit 3 questions with answers 6 steps of SIP (Strategic Investment Planning) process -Correct Answer-1. Establish the client engagement 2. Gather client data and identify objectives 3. Clarify client status, problems, and opportunities 4. Identify strategies and present the plan 5. Implement the plan 6. Monitor performance and update Step 1 SIP - Establish client engagement -Correct Answer-- your duties and responsibilities - your client's duties and responsibilities ...