2025 CERTIFICATION CSC2 TRAINING: CANADIAN SECURITIES COURSE EXAM2 - UNPARALLELED FREE PDF QUIZ CSC2

2025 Certification CSC2 Training: Canadian Securities Course Exam2 - Unparalleled Free PDF Quiz CSC2

2025 Certification CSC2 Training: Canadian Securities Course Exam2 - Unparalleled Free PDF Quiz CSC2

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CSI Canadian Securities Course Exam2 Sample Questions (Q33-Q38):

NEW QUESTION # 33
What obligation dues an IA have when communicating information about a preliminary prospectus to prospective investors?

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

Answer: C

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 # 34
When considering management accounts, what is most accurate regarding model-based account management?

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

Answer: A

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 # 35
After reviewing a client's risk tolerance, time horizon and financial objectives. Andy recommends that a long- term asset mix of 55% equities, 40 bonds and 5% cash would be most appropriate for the client.
Which approach has Andy taken in his recommendation?

  • A. Ongoing asset allocation
  • B. Tactical asset allocation
  • C. Dynamic asset allocation
  • D. Strategic asset allocation

Answer: D

Explanation:
Strategic asset allocationis a long-term approach to portfolio management where a target allocation among asset classes (e.g., equities, bonds, cash) is established based on the client's risk tolerance, time horizon, and financial objectives. This allocation remains relatively constant over time, with periodic rebalancing to maintain the original proportions.
* Details of Andy's Recommendation:Andy recommends a fixed asset mix of 55% equities, 40% bonds, and 5% cash, which aligns with the principles of strategic asset allocation. The focus is on maintaining this allocation to meet long-term goals, without frequent shifts based on short-term market movements.
* Why Other Options Are Incorrect:
* A. Dynamic asset allocation: This involves frequent changes to asset allocation in response to market trends, which is not evident in Andy's recommendation.
* B. Tactical asset allocation: This is a short-term, active approach where adjustments are made based on market conditions to capitalize on opportunities.
* D. Ongoing asset allocation: While this involves periodic rebalancing, it is not a defined approach like strategic allocation.
References:
* CSC Volume 2, Chapter 16: Asset allocation strategies.


NEW QUESTION # 36
What are examples of primary investment objectives?

  • A. Marketability and growth of capital.
  • B. Growth and preservation of capital
  • C. Tax minimization and safety of principal.
  • D. Marketability and tax minimization.

Answer: B

Explanation:
Investment objectives are critical components of a financial plan, guiding both the client and the advisor in creating strategies to achieve desired financial outcomes. These objectives generally fall into primary categories that reflect the investor's goals, risk tolerance, and time horizon.
* Growth of Capital:This objective focuses on increasing the principal value of the investment over time.
It is particularly important for investors with long-term goals, such as retirement or funding a child's education. Growth-oriented investments typically include equities, equity mutual funds, and growth- oriented ETFs.
* Preservation of Capital:This objective ensures that the invested principal remains safe from loss, emphasizing lower-risk investments like government bonds, GICs (Guaranteed Investment Certificates), or money market instruments. Investors prioritizing this objective often have a low tolerance for risk and a shorter time horizon.
Growth and Preservation of CapitalRelevance to Financial PlanningBy combining growth with preservation, the portfolio aims to strike a balance between generating returns and maintaining the invested capital. This dual objective is well-suited for individuals in different life stages:
* Young Investors: Tend to emphasize growth more, leveraging their long time horizons.
* Older Investors: Place greater emphasis on preservation as they near or enter retirement, prioritizing capital safety to fund living expenses.
Why A is CorrectOption A explicitly combines both these objectives, aligning with a widely recognized approach to investing that balances risk and reward depending on the investor's profile and needs.
References:
* Volume 2, Section 15: Portfolio Management Process-Investment Objectives and Constraints.
* Volume 1, Section 4: Overview of Economics-Principles of Risk and Return.


NEW QUESTION # 37
A portfolio manager at an investment firm is analyzing the behavior of stocks in various market conditions.
They believe markets are efficient and that all public and non-public and non-public available information is fully reflected in current process. How should the construct their investment portfolio?

  • A. Use both fundamental and technical analysis to add value to the portfolio.
  • B. Actively buy and sell stocks in an attempt to beat the stock market's average returns.
  • C. Create a passive investment portfolio with exchange- traded funds.
  • D. Use technical analysis to review all past price movements and trends.

Answer: C

Explanation:
When an investor or portfolio manager adheres to the belief in market efficiency-specifically the strong form of theEfficient Market Hypothesis (EMH)-it implies that all information (public and non-public) is fully reflected in security prices. This belief diminishes the value of active investment strategies, such as fundamental or technical analysis, as these approaches presume the possibility of identifying undervalued or overvalued securities.
As such, the logical approach in this scenario would be to adopt apassive investment strategy. This includes constructing a portfolio ofexchange-traded funds (ETFs)or index funds that replicate the performance of a broad market index, such as the S&P/TSX Composite Index. A passive approach aligns with the principle of market efficiency, as it avoids attempts to outperform the market, which are considered futile under the EMH.
References:
* Volume 2, Chapter 13: Fundamental and Technical Analysis, Efficient Market Hypothesis,Canadian Securities Course.


NEW QUESTION # 38
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