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CSI CSC2 Exam Syllabus Topics:

Topic	Details
Topic 1	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 2	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 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	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 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	Additional Topics: This section of the exam measures the skills of a Wealth Management Professional and covers Canadian taxation systems, tax-advantaged accounts, fee-based account structures, retail client financial planning and estate planning, institutional client management, and ethical standards for financial advisors serving both individual and institutional clients.

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CSI Canadian Securities Course Exam2 Sample Questions (Q123-Q128):

NEW QUESTION # 123
What information is an investor unable to retrieve through the SEDAR+ website?

A. Annual report.
B. Interim financial statements.
C. Registration information for dealers.
D. Annual information form.

Answer: C

NEW QUESTION # 124
When considering management accounts, what is most accurate regarding model-based account management?

A. It is only intended for short-term use.
B. It requires client permission before executing trades.
C. It permits tax loss selling.
D. It requires solicitation.

Answer: B

Explanation:
Model-based account management refers to discretionary accounts where advisors execute trades following a predefined model portfolio. Client consent is crucial as advisors must adhere to fiduciary responsibilities and ethical standards. This consent is typically obtained through agreements and clear disclosure documents when opening such accounts. The necessity for client approval ensures alignment with the investor's risk tolerance and financial objectives.
Tax loss selling and solicitation are unrelated to the operational mechanics of model-based accounts, while the emphasis on short-term use contradicts the long-term nature of these accounts.
* References:
* CSC Volume 2, Chapter 25: Fee-Based Accounts - Documentation for Managed Accounts.
* CSC Volume 2, Chapter 26: Working with Retail Clients - Ethical Standards and Client Consent Requirements.

NEW QUESTION # 125
What must happen for a redemption to be processed from a mutual fund?

A. Payment for redeemed securities must be within two business days after the NAVPS is determined.
B. Mutual funds representatives must submit the order within two business days of when the order is received from the client.
C. The client redeeming the mutual fund must receive a Fund facts document.
D. The offering price of the mutual fund must be calculated.

Answer: A

Explanation:
When a mutual fund redemption is processed, the fund must calculate the Net Asset Value per Share (NAVPS) to determine the redemption price. The Canadian Securities Administrators (CSA) regulations mandate that payment for redeemed securities be made within two business days following the calculation of NAVPS, ensuring prompt transactions while protecting investor interests.
References:
* CSC Volume 2, Chapter 17: "Mutual Funds: Structure and Regulation," details the process and timing for mutual fund redemptions, including regulatory requirements.

NEW QUESTION # 126
What is a characteristic of an investment firm's liability traders?

A. They have a limited amount of flexibility in the strategies they employ.
B. They are responsible for managing the dealer's trading capital to encourage market flows.
C. They have large client commitments.
D. They improve liquidity to the market and increase trading volumes.

Answer: B

Explanation:
Liability traders use the investment dealer's own capital to facilitate trades, manage inventory, and support market flows. They may take positions to help complete client transactions or provide liquidity when there is not an immediate natural buyer or seller. Because the dealer's capital is at risk, liability trading requires strong risk controls, market knowledge, and inventory management. Option B is incorrect because liability traders often need flexibility to manage positions and market exposure.
Option C describes a possible market benefit but is too general and more closely associated with market-making activity. Option D is not the defining feature; client commitments are more relevant to agency relationships or institutional execution. The central characteristic is managing the dealer's trading capital.

NEW QUESTION # 127
If an advisor is interested in a top-down, active equity management approach that is more aggressive and likely to be successful, which type of fund manager should he choose?

A. Market timing.
B. Buy and hold.
C. Sector rotation.
D. Value oriented.

Answer: C

Explanation:
Sector rotation is a top-down active equity strategy. The manager begins with macroeconomic and industry analysis, then shifts portfolio exposure toward sectors expected to outperform at a particular stage of the business cycle. This approach is more active and aggressive than buy-and-hold investing, but it is generally more practical than pure market timing because the manager remains invested while changing sector weights. Market timing attempts to move in and out of the market altogether, which is highly difficult and often unreliable. Value-oriented management is usually bottom-up because it focuses on individual undervalued securities. Buy and hold is passive or low-turnover. Therefore, sector rotation best matches a top-down active approach.

NEW QUESTION # 128
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