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CSI Canadian Securities Course Exam 1 Sample Questions (Q11-Q16):

NEW QUESTION # 11
What tern describes the requirementof registrants to collectextensive personal and financial Information from individuals before making an investment recommendation?

A. Gatekeeper obligations.
B. Fiduciary duty
C. Suitability rule
D. Know Your Client rule.

Answer: D

Explanation:
TheKnow Your Client (KYC) rulerequires registrants to gather detailed personal and financial information from clients before providing investment advice or making recommendations. This ensures that investment recommendations align with the client's financial goals, risk tolerance, and circumstances.
* This obligation is critical for ensuring suitability in investment products and maintaining regulatory compliance.
* Suitability rule (A)refers to matching investments to a client's needs but comes after gathering KYC information.
* Gatekeeper obligations (C)focus on preventing illegal activities like money laundering.
* Fiduciary duty (D)applies to acting in the best interest of the client but is broader in scope.
References:Volume 1, Chapter 3 ("Know Your Client Rule").

NEW QUESTION # 12
A large number of well-trained, willing-to-work individuals have given up trying to find employment. All else being equal, how will the labor market indicators be affected by this event.

A. An increase in the participation rate.
B. An increase in the labour force.
C. A decrease in the overall unemployment rate.
D. A decrease in the structural unemployment rate.

Answer: C

Explanation:
When individuals stop actively seeking work, they are no longer considered part of thelabour force, and this reduces theunemployment ratesince it only includes those actively seeking employment.
* A (Structural unemployment)remains unchanged as this relates to mismatches in skills or geographic factors.
* C (Participation rate)decreases since fewer individuals are in the labour force.
* D (Labour force)decreases as individuals withdraw from it.
References:Volume 1, Chapter 4 ("Labour Market Indicators").

NEW QUESTION # 13
Which security is issued by a company lo existing shareholders allowing, them to subscribe for additionalshares over a period of severalyears?

A. Stock options.
B. Long-term equity anticipation security.
C. Warrants
D. Rights.

Answer: C

Explanation:
Warrants are securities issued by a company to existing shareholders, giving them the right to purchase additional shares at a predetermined price, often over a longer period (years). Warrants are typically used as an incentive or as part of financing arrangements.
This differs from rights, which are similar but usually have a shorter exercise period, often weeks.
Study Document References:
* Volume 1, Chapter 8:Warrants and Rights, discussing their features and purposes.

NEW QUESTION # 14
What is a characteristic of the FTSE Canada Universe Bond index?

A. It is a capitalization-weighted index.
B. Only bonds with a term to mammy of 30 days or more are eligible for inclusion.
C. US dollar bonds from Canadian issuers are included
D. Only government bonds ate included

Answer: A

Explanation:
The FTSE Canada Universe Bond Index is acapitalization-weighted index, meaning that the weights of its components are based on their market value. It includes bonds from various issuers (both government and corporate) with terms to maturity of at least one year.
* A. US dollar bonds from Canadian issuers are included: Only bonds denominated in Canadian dollars are included.
* B. Only bonds with a term to maturity of 30 days or more are eligible for inclusion: Bonds must have a minimum term to maturity of one year, not 30 days.
* D. Only government bonds are included: The index includes both government and corporate bonds.

NEW QUESTION # 15
Where docs primary responsibility for gatekeeping inthe securities industry reside?

A. With the market surveillance Division of CIRO.
B. With the provincial securities regulators.
C. With the CIRO dealer members and all Their employees
D. With OS FI

Answer: C

Explanation:
The primary responsibility for gatekeeping in the securities industry resides with CIRO (Canadian Investment Regulatory Organization) dealer members and their employees. This gatekeeping role includes adhering to regulations, implementing Know Your Client (KYC) and Know Your Product (KYP) rules, and ensuring compliance with ethical standards and client-focused reforms.
Dealer members and their employees must ensure that the products and services offered are suitable for their clients and that any potential conflicts of interest are managed appropriately.
Study Document References:
* Volume 1, Chapter 3:The Gatekeeper Role in Securities Regulation, focusing on the responsibilities of CIRO dealer members.

NEW QUESTION # 16
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Free PDF 2025 Marvelous CSC1: Canadian Securities Course Exam 1 Vce Exam

Dumps CSC1 PDF, New CSC1 Test Labs

CSI Canadian Securities Course Exam 1 Sample Questions (Q11-Q16):

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