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CSI CSC2 Exam Overview:

Certification Vendor:	Canadian Securities Institute (CSI)
Exam Name:	Canadian Securities Course Exam 2
Exam Number:	CSC2
Certificate Validity Period:	3 years
Related Certifications:	Conduct and Practices Handbook Course (CPH) Canadian Securities Course Exam 1 (CSC1) Wealth Management Essentials (WME)
Exam Format:	Computer-based, Scenario-based questions, Multiple-choice questions
Exam Price:	CAD 450 - CAD 550
Passing Score:	60% (600/1000)
Exam Duration:	120 minutes
Available Languages:	French, English
Real Exam Qty:	100
Recommended Training:	CSI Official Study Materials
Exam Registration:	Prometric Test Center CSI Official Registration
Sample Questions:	CSI CSC2 Sample Questions
Exam Way:	Online proctored or onsite at Prometric test centers
Pre Condition:	Completion of Canadian Securities Course Exam 1 (CSC1)
Official Syllabus URL:	https://www.csi.ca/en/learning/courses/csc/exam-credits

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CSI CSC2 Exam Syllabus Topics:

Topic	Details
Topic 1	Analysis of Managed and Structured Products: This section of the exam measures the skills of an Investment Products Specialist and covers mutual funds, exchange-traded funds, alternative investments, structured products, and other managed products including their structures, regulations, features, risks, strategies, performance measurement, and tax implications within the Canadian investment landscape.
Topic 2	The Corporation: This section of the exam measures the skills of a Corporate Finance Analyst and covers corporate structures, financial statements, disclosure requirements, investor rights, financing methods, capital raising processes, prospectus requirements, securities distribution, and exchange listing procedures for corporations.
Topic 3	The Economy: This section of the exam measures the skills of an Economic Analyst and covers fundamental economic concepts including microeconomics and macroeconomics, economic growth measurement, business cycles, labor markets, interest rates, inflation, international trade, and both fiscal and monetary policy with emphasis on the Bank of Canada's role and government policy challenges.
Topic 4	Portfolio Analysis: This section of the exam measures the skills of a Portfolio Manager and covers portfolio management approaches including risk and return measurement, portfolio optimization strategies, management styles, and the complete portfolio management process from objective setting to performance evaluation and rebalancing.
Topic 5	The Canadian Investment Marketplace: This section of the exam measures the skills of a Securities Industry Professional and covers the structure and operation of Canada's investment marketplace. It includes the roles of investment dealers and financial intermediaries, capital market functions, financial instruments, and the complete Canadian regulatory environment with its regulatory bodies, principles of regulation, client remediation options, and ethical standards for financial services professionals.
Topic 6	Investment Products: This section of the exam measures the skills of an Investment Products Analyst and covers fixed-income securities features, pricing, and trading; equity securities including common and preferred shares; derivatives including options, forwards, futures, rights and warrants; and the characteristics and uses of all these investment instruments in Canadian markets.
Topic 7	Investment Analysis: This section of the exam measures the skills of a Research Analyst and covers both fundamental and technical analysis methods, including macroeconomic, industry and company analysis techniques, financial statement interpretation, ratio analysis, and security valuation approaches.

CSI Canadian Securities Course Exam2 Sample Questions (Q144-Q149):

NEW QUESTION # 144
What action must an investment advisor take when submitting a trade ticket for a short sale?

A. Verify the client can borrow the shares.
B. Obtain minimum margin amount from client
C. Mark it as a margin order
D. Mark the sell-order ticket as a short sate

Answer: D

Explanation:
When submitting a trade ticket for a short sale, an investment advisor must mark the sell-order ticket as a short sale. This ensures compliance with regulatory requirements and informs the broker and exchange that the sale involves borrowed shares. Marking the order appropriately helps maintain transparency and enables monitoring for potential market manipulation.
* A. Verify the client can borrow the shares: The responsibility for ensuring share availability lies with the broker, not the advisor.
* C. Obtain minimum margin amount from client: This is done separately as part of the account setup and transaction process, not when submitting the trade ticket.
* D. Mark it as a margin order: Short sales involve margin, but the ticket must specifically indicate "short sale" rather than just "margin." Reference:CSC Volume 1, Chapter 9, "Short Selling - Trade Requirements" details the process and importance of marking short-sale tickets.

NEW QUESTION # 145
What is a typical characteristic of managed fee-based accounts?

A. The fees for registered accounts are tax-deductible.
B. The fees are fixed and non-negotiable.
C. They provide services to the client only on investment management.
D. The manager is a licensed portfolio manager with trading authority over the account.

Answer: D

Explanation:
A managed fee-based account is normally structured so that a licensed portfolio manager has discretionary trading authority over the client's account. This means the manager can make investment decisions according to the client's investment policy statement, mandate, objectives, and risk profile without asking for approval before every transaction. Option A is too narrow because fee-based accounts may include portfolio construction, monitoring, reporting, rebalancing, and advisory services, not only investment management. Option B is incorrect because fee schedules can vary and may be negotiable depending on account size and services provided. Option D is incorrect because fees charged inside registered accounts are generally not tax-deductible. The defining feature is discretionary management by a qualified portfolio manager.

NEW QUESTION # 146
The XYZL mutual fund distributes realized capital gains of $1.50. What is the effect of this distribution?

A. Each investor will have to report taxable income of $1.50 per share.
B. The mutual fund will have to declare taxable income of $0.75 per share.
C. The net asset value per share will drop $1.50 as a result of the distribution.
D. Investors will reduce the adjusted cost base of their holdings in the fund.

Answer: A

NEW QUESTION # 147
How are investment dealers unique participants in the institutional market?

A. They act on both they buy side and sell side.
B. They manage pools of assets on behalf of beneficiaries.
C. They manage a firm's financial assets in support of a company's business activities.
D. They produce research reports.

Answer: A

Explanation:
Investment dealers play a unique role in the institutional market due to their dual capability of operating on both the buy side and the sell side:
* The Buy SideInvestment dealers assist institutional investors like pension funds, mutual funds, and hedge funds in acquiring securities to meet their investment objectives. These clients aim to optimize returns on their invested assets, and the dealers provide them with access to securities markets, investment advice, and execution services.
* The Sell SideOn the sell side, investment dealers facilitate the issuance of new securities. They underwrite and distribute these securities, providing liquidity to the market. They also produce research reports and provide trade execution services to institutional and retail clients. This dual operation is critical for maintaining market efficiency and ensuring the smooth functioning of capital markets.
This dual-role capacity makes investment dealers pivotal in bridging gaps between the needs of securities issuers and institutional investors. They enhance market liquidity, efficiency, and transparency through their intermediary functions.
References:
Canadian Securities Course, Volume 1, Chapter 1: The Investment Dealer's Role as a Financial Intermediary Canadian Securities Course, Volume 2, Chapter 27: Working with the Institutional Client.

NEW QUESTION # 148
Which investor right must be disclosed in a Fund Fact document?

A. Investors have a right to withdrawal from their purchase within 24 hours after confirmation of the purchase is received.
B. Investors can request a paper copy of the simplified prospectus for a small charge.
C. Investors have the right to act or claim damages without any limitation.
D. Investors have the right to rescind the purchase if these is misrepresentation in the document.

Answer: D

Explanation:
The Fund Facts document is a regulatory disclosure document provided to mutual fund investors in Canada.
It aims to provide clear, concise, and relevant information about the fund. One critical investor right disclosed in this document is the right to rescind their purchase if there is any misrepresentation in the document. This ensures transparency and legal protection for investors.
* Explanation of Options:
* A. Rescission Due to Misrepresentation: Correct. If the document contains false or misleading statements, investors can rescind the purchase under securities laws.
* B. 24-Hour Withdrawal Right: Incorrect. This is not a standard right for mutual fund purchases; the withdrawal right period is generally within two business days after receiving the trade confirmation.
* C. Requesting a Simplified Prospectus: While investors can request this document, the Fund Facts specifically focuses on investor rights related to rescission and misrepresentation.
* D. Claiming Damages Without Limitation: Incorrect. Claims for damages are subject to limitations under securities law and are not unrestricted.
:
CSC Volume 2, Chapter 17: Fund Facts and regulatory disclosures.

NEW QUESTION # 149
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