CSC2 EXAM PAPERS - SAMPLE CSC2 QUESTIONS

CSC2 Exam Papers - Sample CSC2 Questions

CSC2 Exam Papers - Sample CSC2 Questions

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Tags: CSC2 Exam Papers, Sample CSC2 Questions, CSC2 Latest Test Practice, CSC2 Reliable Test Dumps, CSC2 Valid Test Vce

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100% Pass Quiz CSI - CSC2 - Canadian Securities Course Exam2 –Professional Exam Papers

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CSI Canadian Securities Course Exam2 Sample Questions (Q80-Q85):

NEW QUESTION # 80
How do the fees differ between an F-class and front-end version of the same fund?

  • A. The management expense ratio is higher on the F-class fund.
  • B. The management expense ratio is lower on the F-class fund.
  • C. The commission changed is higher on the F-class fund.
  • D. The fees are identical

Answer: B

Explanation:
F-class funds are designed for fee-based accounts, where investors pay advisors a separate fee for services rather than a commission. This structure impacts the Management Expense Ratio (MER).
* Management Expense Ratio (MER):
* F-Class Funds: Exclude embedded advisor commissions, resulting in lower MER. These funds are cost-effective for investors in fee-based arrangements.
* Front-End Funds: Include advisor commissions as part of the MER, increasing overall costs.
* Fee Structure:
* F-class funds charge a flat management fee without embedded commissions, offering more transparency.
* Front-end funds involve a sales charge (front-end load) that compensates advisors directly at the time of purchase.
Key Differences Between F-Class and Front-End FundsWhy A is CorrectThe lower MER of F-class funds reflects the absence of embedded advisor fees, making them more attractive to fee-conscious investors.
References:
* Volume 2, Section 25: Fee-Based Accounts-Advantages and Structure of F-Class Funds.
* Volume 2, Section 17: Mutual Funds-Charges Associated with Funds.


NEW QUESTION # 81
What is the main benefit of investing in preferred shares?

  • A. Guaranteed dividend payment.
  • B. Higher potential for capital appreciation than common shares.
  • C. Priority to receive fixed dividends ahead of common shareholders.
  • D. Priority to claim assets ahead of debt holders.

Answer: C

Explanation:
Preferred shares provide investors withpriority to receive fixed dividends ahead of common shareholders.
This fixed income feature makes preferred shares similar to debt instruments but with characteristics of equity. While preferred shareholders have no guaranteed dividend payment (subject to the company's discretion and profitability), they are entitled to receive dividends before any distribution to common shareholders.
Preferred shares do not have a higher potential for capital appreciation compared to common shares, as they are typically designed for income rather than growth. Additionally, preferred shareholders have a lower claim on assets compared to debt holders.


NEW QUESTION # 82
Where would the description d a company's fixed assets normally be found?

  • A. In the statement of financial position.
  • B. In the notes to the financial statements
  • C. In the auditor report
  • D. In the annual report

Answer: B

Explanation:
The description of a company's fixed assets, including details about their nature, valuation methods, and depreciation, is typically found in thenotes to the financial statements. These notes provide additional context, explanations, and details about the figures presented in the financial statements. The statement of financial position will list fixed assets, but the comprehensive description is found in the notes.
References:
* Volume 1, Chapter 11:Corporations and Their Financial Statements, section on "Notes to the Financial Statements" describes how notes are used to provide critical details about items in the financial statements, including fixed assets.


NEW QUESTION # 83
Which asset type is classified as a fixed-income asset for portfolio management purposes?

  • A. Money market securities
  • B. Preferred shares.
  • C. Bonds with a maturity of one year or less.
  • D. Convertible bonds.

Answer: D

Explanation:
* Fixed-income assets are characterized by predictable cash flows. Convertible bonds qualify because they have features of fixed-income securities (coupon payments and principal repayment) while also offering the option to convert into equity.
* Money market securities (Option A) are short-term, high-liquidity instruments and typically not classified as fixed-income for long-term portfolio management purposes.
* Preferred shares (Option B) are equity-like instruments with fixed dividend payments but lack the
"fixed-income" designation for portfolio management.
* Bonds with less than one year to maturity (Option D) fall under money market classifications rather than fixed income.
References: Canadian Securities Course Volume 2, Fixed-Income Securities Section.


NEW QUESTION # 84
For institutional trading, when does the investor need to provide trade-matching elements?

  • A. One the custodian confirms the trade.
  • B. Once the trade clears.
  • C. After the dealer issues a trade execution notice.
  • D. With the initial order.

Answer: C

Explanation:
Trade-matching is a critical process in institutional trading, ensuring that details of a trade (e.g., price, quantity, and settlement terms) align among the involved parties, including the investor, dealer, and custodian.
In Canada, institutional trade matching must occur within a specific timeline, and the investor is responsible for providing trade-matching elementsafter the trade execution notice is issued by the dealer.
Step-by-Step Explanation:
* What is Trade Matching?Trade matching involves the comparison of trade details between the buyer and seller (and their intermediaries) to confirm accuracy and reduce settlement risks.
* When Does the Investor Provide Trade-Matching Elements?
* After the dealer executes the trade, the dealer issues atrade execution noticeto the investor.
* The investor must then provide the necessary trade-matching details, such as account information, settlement instructions, and any other required confirmations.
* This process ensures that the trade can move seamlessly through to settlement.
* Why Not Other Options?
* Option B (Once the custodian confirms the trade):Incorrect. The custodian's role is typically involved in the final settlement process and not in providing trade-matching details.
* Option C (With the initial order):Incorrect. Trade-matching details are provided after the trade is executed, not at the time the order is placed.
* Option D (Once the trade clears):Incorrect. Trade matching occurs before the trade clears to ensure settlement.
References to Canadian Securities Course Exam 2 Study Materials:
* Volume 2, Chapter 27 - Institutional Clearing and Settlement
* Highlights the process of institutional trade matching, the roles of the investor, dealer, and custodian, and the required timelines.
* Volume 2, Chapter 27 - The Sell Side and the Buy Side of the Market
* Explains trade execution and the responsibilities of institutional clients and their intermediaries in completing trades.
Final answer:
* Option A (After the dealer issues a trade execution notice): Correct.
* Other options are incorrectbased on the standard processes for institutional trade matching in Canada.


NEW QUESTION # 85
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