IFC 무료 덤프문제 온라인 액세스

A sample of four portfolios is given below, with an even split between allocations 1 and 2.
Portfolios | Allocation #1 | Allocation #2
Portfolio A
Preferred shares
Common shares
Portfolio B
Treasury bills
Debentures
Portfolio C
Debentures
Common shares
Portfolio D
Treasury bills
Preferred shares
Which portfolio carries the greatest amount of risk?

• A.Portfolio B
• B.Portfolio A
• C.Portfolio D
• D.Portfolio C

One of your clients, Fernando, is approaching 71 years of age and has a few questions regarding life income funds (LIFs).
Which of the following statements about LIFs is TRUE?

• A.Fernando may make contributions to his LIF if he continues working.
• B.Fernando can transfer money from his locked-in retirement account (LIRA) to a LIF.
• C.Fernando is free to withdraw any amount from his LIF above the minimum amount.
• D.Fernando can transfer money from his registered retirement savings plan (RRSP) to a LIF.

Danny is a Dealing Representative for Everbright Investments. He met with his client Adele, who has
$1,000,000 to invest. During their meeting Danny determines that Adele has a high-risk profile. In addition, he learns that she has an excellent understanding of equities and how volatile they can be. Danny is considering recommending growth funds specifically, and making a recommendation from the following investment options:

Based on the information provided, which mutual fund should Danny recommend?

• A.ABC Global Equity Fund.
• B.DEF European Equity Fund.
• C.Invest equally in all 3 funds.
• D.LMN Asia Pacific Equity Fund.

Megan purchases a treasury bill for $98,200. When it matures for $100,000, how does Megan treat the $1,800 difference?

• A.as return of capital
• B.as interest income
• C.as a capital gain
• D.as a dividend

Nelson is a Dealing Representative with True Wealth Advisors Inc., a mutual fund dealer. Nelson follows proper procedures related to his firm's Relationship Disclosure Information (RDI). Which of the following CORRECTLY describes how Nelson is permitted to evidence that he satisfied his RDI obligation?

• A.Nelson can record detailed notes which confirm that he provided and explained the Fund Facts to the client within 2 days of the RDI.
• B.Nelson may deliver the RDI to clients who request it and keep detailed notes of the clients who were provided with the RDI.
• C.Nelson may retain a copy of the RDI in the client file with detailed notes to confirm that he provided and explained the RDI to the client.
• D.Nelson can formalize his relationship under the RDI using a Letter of Engagement that specifies duties, responsibilities, and level of service.