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| Section | Weight | Objectives |
|---|---|---|
| Understanding Alternative Managed Products | 3% | |
| Introduction to the Mutual Funds Marketplace | 13% | |
| Evaluating and Selecting Mutual Funds | 16% | |
| Ethics, Compliance, and Mutual Fund Regulation | 16% | |
| The Modern Mutual Fund | 5% | |
| Analysis of Mutual Funds | 10% | |
| The Know Your Client Communication Process | 19% | |
| Understanding Investment Products and Portfolios | 18% |
경쟁율이 치열한 IT업계에서 아무런 목표없이 아무런 희망없이 무미건조한 생활을 하고 계시나요? 다른 사람들이 모두 취득하고 있는 자격증에 관심도 없는 분은 치열한 경쟁속에서 살아남기 어렵습니다. CISI인증 IFC시험패스가 힘들다한들KoreaDumps덤프만 있으면 어려운 시험도 쉬워질수 밖에 없습니다. CISI인증 IFC덤프에 있는 문제만 잘 이해하고 습득하신다면CISI인증 IFC시험을 패스하여 자격증을 취득해 자신의 경쟁율을 업그레이드하여 경쟁시대에서 안전감을 보유할수 있습니다.
질문 # 374
You ask a new client, Brad, "what are your financial obligations and what are your assets?" What information are you trying to gather in order to comply with the know your client (KYC) rule?
정답：B
설명：
By asking Brad about his financial obligations and assets, you are trying to gather information about his net worth, which is one of the essential facts that you need to know about your client according to the KYC rule.
Net worth is the difference between the total value of a client's assets and the total value of their liabilities. It reflects the client's financial position and helps you assess their risk tolerance, investment objectives, and suitability for different products and services.
References = Canadian Investment Funds Course (CIFC) - Module 1: The Financial Services Industry - Section 1.3: Know Your Client (KYC)1 and web search results from search_web(query="know your client rule")23
1: https://www.ifse.ca/wp-content/uploads/2021/08/CIFC-Module-1.pdf
질문 # 375
What type of managed fund, recently introduced to Canada, is allowed greater use of short sales, leverage, and derivatives compared to mutual funds, but not to the same extent as hedge funds?
정답：C
설명：
Comprehensive and Detailed Explanation From Exact Extract:
Liquid alternative funds (liquid alts) are designed to offer more flexibility in using short sales, leverage, and derivatives compared to traditional mutual funds, but with less freedom than hedge funds. The feedback from the document states:
"Liquid alts, also known as alternative mutual funds, were recently introduced into Canada, and are allowed greater use of short sales, leverage, and derivatives compared to regular mutual funds, but not to the same extent as hedge funds." Reference:Chapter 13 - Alternative Managed ProductsLearning Domain:Understanding Alternative Managed Products
질문 # 376
Which stock would be considered the most defensive?
정답：B
설명：
Beta measures systematic (market) risk:
Beta = 1.0 # moves with market.
Beta < 1.0 # less volatile, more defensive.
Beta > 1.0 # more volatile, aggressive.
Defensive stocks (e.g., banks, utilities) typically have low betas.
Given options:
0.5 (A) = least risky, most defensive.
2.0 (B) = highly aggressive.
1.0 (C) = average risk.
1.5 (D) = above-average risk.
질문 # 377
The owners of Underground Airways Ltd. want to take their privately owned corporation public through an initial public offering (IPO). They are speaking to a specialist from an investment dealer to determine whether it would be advisable to become listed on a stock exchange or the over-the-counter (OTC) market.
In comparing the two options, which of the following considerations is TRUE?
정답：A
설명：
A is correct because a stock exchange listing would provide Underground with greater market exposure and public confidence than listing on the OTC market. A stock exchange is a regulated and organized market where securities are traded through intermediaries such as brokers. A stock exchange listing can enhance the reputation, visibility, and liquidity of a company's shares, as well as attract more investors and analysts. An OTC market is a decentralized and less regulated market where securities are traded directly between buyers and sellers, usually through dealers or market makers. An OTC listing may have lower costs and fewer requirements than a stock exchange listing, but it also has less transparency, liquidity, and investor protection.
Underground would not be directly involved in the trading of their shares on either market (B), as they would only issue new shares through an IPO and then let the secondary market determine the price and volume of their shares. Underground would be subject to more stringent listing requirements if they chose the stock exchange as compared to the OTC market , as they would have to meet higher standards of financial reporting, disclosure, governance, and compliance. If Underground chose to list on the OTC market, there would still be a secondary market available for investors (D), but it would be less liquid and efficient than a stock exchange. References: Investment Funds in Canada (IFC) | Canadian Securities Institute
질문 # 378
Khuyen is a Dealing Representative for Stark Contrast Investments. Her dealer has relationships with 20 different mutual fund families. This gave her the flexibility to sell two different types of funds from two different fund families to her client, Bao. $5,000 was invested in the Blue Moon Global Balanced fund and an additional $5,000 was invested in the Orange Sun Asset Allocation fund. Khuyen has been reviewing the performance of both funds and has determined that Bao would be better off being fully invested in the Blue Moon Global Balance fund. Bao had previously signed a Limited Authorization Form (LAF) for Khuyen, so she goes ahead and does not worry about consulting with Bao before making the change.
What type of activity has Khuyen performed?
정답：B
설명：
Discretionary trading is a type of trading activity where the advisor makes investment decisions on behalf of the client without obtaining the client's prior consent for each transaction. Discretionary trading is only allowed if the client has signed a discretionary management agreement with the advisor and the advisor is registered as a portfolio manager. A limited authorization form (LAF) does not grant the advisor the authority to engage in discretionary trading. A LAF only allows the advisor to execute trades that are initiated by the client, such as pre-authorized contributions or withdrawals. Therefore, Khuyen has performed discretionary trading by switching Bao's funds without consulting him, which is a violation of her registrant responsibilities and ethical standards. References:
Canadian Investment Funds Course (CIFC) Study Guide, Chapter 2: The Sales Process, Section 2.4: Ethics and Compliance, page 2-161 Discretionary Trading Definition - Investopedia2
질문 # 379
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