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Free CIFC Questions Attempt

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Question 24

Which of the following is included when calculating a country's gross domestic product (GDP)?

Options:

A.

total income of all employed individuals

B.

the cost of all goods produced

C.

the market value of goods and services sold to final users

D.

the value of work done by volunteers

Question 25

Which of the following form part of the disclosure documents relating to mutual funds?

Options:

A.

balance sheet, income and cash flow statements of the portfolio management company

B.

statement of net assets, annual information form, management reports of fund performance

C.

annual proxy voting record, audited financial statements, and proof of registration

D.

new account information form, quarterly financial statements, and security certification

Question 26

In a mutual fund dealer, who is the person responsible for establishing and maintaining compliance policies and procedures as well as monitoring and assessing compliance?

Options:

A.

the chief executive officer

B.

the ultimate designated person

C.

the trustee

D.

the chief compliance officer

Question 27

Which statement regarding the underwriting process and over-the-counter (OTC) markets is CORRECT?

Options:

A.

Corporations must have their shares listed both on an exchange and the OTC market during the underwriting process.

B.

During the underwriting process investment bankers raise investment capital from investors on behalf of corporations and governments issuing securities.

C.

Many new stock issues that are underwritten by securities firms are first listed on a stock exchange before they are sold over-the-counter.

D.

The disclosure standards for stock exchanges are not as stringent as those imposed by the OTC market.

Page: 6 / 12
Exam Code: CIFC
Exam Name: Canadian Investment Funds Course Exam
Last Update: Dec 22, 2024
Questions: 224
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