RSE 무료 덤프문제 온라인 액세스

A client contributes a large amount to a managed portfolio shortly before a period of strong market performance. Which return measure is generally more appropriate for evaluating the Portfolio Manager's investment performance independently of the client's contribution timing?

• A.Dividend payout ratio
• B.Money-weighted rate of return
• C.Current yield
• D.Time-weighted rate of return

What is the primary responsibility of an Investment Dealer when considering whether to allow a client to trade on margin?

• A.To ensure that the client is aware of the risks and benefits associated with trading on margin
• B.To provide margin loans at the Investment Dealer's lowest interest rates to capitalize on the leverage
• C.To certify that the client has sufficient funds to cover any potential losses from trading on margin
• D.To limit the client's trading activity to avoid unnecessary risk associated with trading on margin

A client asks a Registered Representative (RR) to invest the client's money in a private company in which the Representative has an ownership interest. What is the most appropriate action for the Representative to take?

• A.Recommend the investment only if it aligns with the client's investment objectives and risk profile
• B.Decline the transaction and close the client's account
• C.Proceed with the investment with the client's written consent if the client is aware of the RR's ownership interest
• D.Disclose the conflict and seek Investment Dealer approval before proceeding

An investor, with a low risk tolerance and a short-term investment objective, approaches a Registered Representative (RR) for investment options. Which best fulfills suitability requirements linking this know- your-client (KYC) information to a recommendation?

• A.Advise an exchange-traded fund (ETF) after noting investment knowledge and growth interest
• B.Propose a bond mutual fund to meet the time horizon and liquidity preference
• C.Suggest an equity growth fund based on market trends and diversification potential
• D.Recommend a balanced mutual fund to fulfill income needs and risk capacity

A portfolio earned 12% during the year. The risk-free rate was 4%, and the portfolio's beta was 1.25. What was the portfolio's Treynor ratio?

• A.8.00%
• B.5.00%
• C.6.40%
• D.10.00%