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CSI CSC2 Exam Syllabus Topics:

Topic	Details
Topic 1	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 2	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 3	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.
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 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.

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CSI Canadian Securities Course Exam2 Sample Questions (Q168-Q173):

NEW QUESTION # 168
An investment analyst at a bank is reviewing the high, low and closing prices of a financial services stock.
What type of analysis is this analyst conducting?

A. Quantitative analysis
B. Cycle analysis
C. Chart analysis
D. Moving average analysis

Answer: C

NEW QUESTION # 169
Which primary value is violated if an advisor places an unsuitable order requested by a client?

A. Integrity.
B. Compliance.
C. Duty of care.
D. Professionalism.

Answer: C

Explanation:
An advisor's duty of care requires recommendations and accepted orders to be suitable for the client based on know-your-client information, investment objectives, time horizon, risk tolerance, financial circumstances, and investment knowledge. Even when a client requests a trade, the advisor cannot ignore suitability obligations. If the order is unsuitable, the advisor must warn the client, document the concern, and may be required to refuse or escalate the transaction depending on firm policy and regulatory obligations. Compliance refers to following laws and internal rules, but the core ethical breach in this scenario is failing to protect the client's interests. Integrity involves honesty, and professionalism involves proper conduct. The direct violation is the advisor's duty of care.

NEW QUESTION # 170
Who generally executes portfolio strategy within a buy-side firm?

A. Head of fixed income
B. Portfolio manager.
C. Investment advisor.
D. Trader

Answer: B

Explanation:
Within a buy-side firm, the portfolio manager is responsible for executing the portfolio strategy. They oversee investment decisions, asset allocation, and security selection based on the investment mandate and client objectives. Other roles:
* Head of fixed income (B) specializes in fixed-income securities rather than overall strategy.
* Investment advisor (C) interacts with clients, focusing on advice rather than execution.
* Trader (D) carries out transactions but does not set the portfolio strategy.
References
* CSC Volume 2 , Chapter 27: Working with the Institutional Client - The Buy-Side Portfolio Manager , p. 27-8.

NEW QUESTION # 171
What is a limitation of labour-sponsored venture capital corporations (LSVCCs)?

A. Federal tax credits are available only if no provincial tax credit is available
B. Investments are subject to a 17.5% federal credit on an annual investment
C. Investments are available at a maximum of $5,000 invested in any one year
D. Tax credits need to be repaid if shares are redeemed within eight years

Answer: D

NEW QUESTION # 172
For institutional investors, what occurs during the clearing process?

A. Confirming and matching trade details.
B. Irrevocable exchange of securities and cash.
C. Trade orders are filled at the exchange.
D. Matching a buyer with a seller.

Answer: A

Explanation:
In institutional trading, clearing occurs after trade execution but before final settlement. The clearing process includes confirming, comparing, and matching trade details such as security name, quantity, price, settlement date, counterparty information, and account instructions. This process reduces settlement risk by ensuring that both sides of the transaction agree on the same terms. Option A describes settlement, where securities and cash are exchanged irrevocably. Options C and D describe execution activities, where orders are matched and filled in the market. Institutional trades often involve multiple parties, including the dealer, investment manager, custodian, and clearing agency, so accurate trade matching is essential. Therefore, confirming and matching trade details is the correct answer.

NEW QUESTION # 173
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