CSC1 試験問題を無料オンラインアクセス

What is the likely outcome attheend of a five-year term of a rate-reset preferred share if the issuer does not redeem the shares?

• A.The shareholder exchanges the rate-reset preferredshare for an unsecured bond
• B.The shareholder exchanges the rate-reset preferred share for a fixed-rate preferred share.
• C.The shareholder exchanges the rate-reset preferredshare for a specified number ofcommon shares.
• D.The shareholder exchanges the rate-reset preferred share for afloating-rate preferred share

What is unique to responsible investment?

• A.A combination of a values and valuation-based approach to investing
• B.It is unavailable with certain asset classes like segregated fundi
• C.It bases investment decisions exclusively on environmental factors.
• D.ESG factors are standardized across the investment no industry.

How do high interest rates affect the economy?

• A.They accelerate debt pay offs
• B.They reduce business investment.
• C.They decrease the value of the Canadian dollar.
• D.They increase prices

Where docs primary responsibility for gatekeeping inthe securities industry reside?

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

What financial instrument is derived from thevalue of an underlying asset?

• A.Preferred share.
• B.Forward contract
• C.Inflation linked bond
• D.Real estate investment trust