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CSI Canadian Securities Course Exam2 Sample Questions (Q62-Q67):

NEW QUESTION # 62
What do the returns on treasury bills often represent?

A. Inflation rate
B. Federal funds rate
C. Bank prime rate.
D. Risk-free rate

Answer: D

Explanation:
Detailed Explanation:Treasury bills (T-bills) are short-term government debt instruments with minimal risk of default. Their returns are often used as a proxy for therisk-free ratein financial analysis, as they represent the theoretical return on an investment with zero credit risk. The risk-free rate is critical for discounting cash flows and comparing returns on various investments.
Other options:
* A. Bank prime rateis the interest rate commercial banks charge their most creditworthy customers.
* B. Inflation rateis unrelated to the direct return on T-bills, though it impacts real returns.
* D. Federal funds rateapplies in the U.S. to interbank lending, not directly to T-bills.
* CSC Volume 1 (2023 Edition): Chapter on the financial markets, inflation, and trade settlement.
* CSC Volume 2 (2024 Edition): Sections on portfolio analysis and risk-free securities.
References:

NEW QUESTION # 63
What obligation dues an IA have when communicating information about a preliminary prospectus to prospective investors?

A. The IA must make a tombstone advertisement.
B. The IA must ensure 3 proxy is mailed to the investors to vote for approval or disapproval of the offering.
C. The IA must provide a greensheet
D. The IA mum record the names addresses of those who have requested and received a preliminary prospectus

Answer: D

Explanation:
Investment advisors (IAs) are required to record the names and addresses of all individuals who have requested and received a preliminary prospectus. This ensures compliance with securities regulations and provides a record for follow-ups and potential disclosures related to the offering.
* A. The IA must ensure a proxy is mailed: Proxy voting is related to shareholder meetings, not the prospectus distribution.
* B. The IA must provide a greensheet: A greensheet is used internally by investment firms, not distributed to clients.
* C. The IA must make a tombstone advertisement: Tombstone advertisements are created by the issuer, not the IA.

NEW QUESTION # 64
When considering management accounts, what is most accurate regarding model-based account management?

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

Answer: C

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 # 65
Which type of trader specializes in managing block trades on behalf of institution clients?

A. Market maker
B. Liability trader
C. Responsible designated trader.
D. Agency trader

Answer: D

Explanation:
An agency trader specializes in executing large block trades for institutional clients without taking ownership of the securities. Their role is critical in facilitating liquidity and minimizing market impact during the execution of trades.
* Managing Block Trades:
* Agency traders handle large transactions on behalf of institutions like pension funds or mutual funds, ensuring the trades are completed efficiently.
* They do not use the firm's capital; instead, they act as intermediaries between the buyer and seller.
* Minimizing Market Impact:
* Large trades can significantly impact stock prices if not executed strategically. Agency traders use methods like algorithmic trading or dark pools to mitigate this impact.
* Role vs. Other Traders:
* Liability Trader: Trades using the firm's capital, assuming the risk of the position.
* Market Maker: Provides liquidity by quoting buy and sell prices.
* Responsible Designated Trader: Oversees order flow for specific securities on the exchange.
* The question specifies managing block trades for institutional clients. This matches the role of agency traders, as they focus on executing trades on behalf of clients without taking positions themselves.
Key Responsibilities of Agency Traders:Why Option B Is Correct:References from CSC Study Materials:
* Volume 2, Chapter 27: "Working with the Institutional Client," Section on Roles and Responsibilities in the Institutional Market.

NEW QUESTION # 66
What is a characteristic of provincial savings bonds?

A. Can be issued Internationally.
B. Available only at a certain time
C. Mature every six months
D. Backed by provincial assets

Answer: B

Explanation:
Provincial savings bondsare available for purchase only during specific periods, often during annual campaigns. They are a secure investment option backed by the issuing provincial government and are available only to residents of the issuing province. They are not issued internationally and do not mature every six months.
References:
* Volume 1, Chapter 6:Fixed-Income Securities, section on "Provincial and Municipal Securities" discusses the features and issuance timing of provincial savings bonds.

NEW QUESTION # 67
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