問題1
When you buy a put option, which of the following is TRUE?
When you buy a put option, which of the following is TRUE?
正確答案: B
說明：（僅 NewDumps 成員可見）
問題2
Which of the following statements about capital gains distributions from mutual fund trusts is correct?
Which of the following statements about capital gains distributions from mutual fund trusts is correct?
正確答案: A
說明：（僅 NewDumps 成員可見）
問題3
Which of the following statements about total return for money market funds is TRUE?
Which of the following statements about total return for money market funds is TRUE?
正確答案: B
說明：（僅 NewDumps 成員可見）
問題4
Preston has been working for Thompson Industries for just over a year and has been part of Thompson's deferred profit sharing plan (DPSP) program from his start date. Preston wants to know more about these types of plans.
What would you tell Preston about DPSPs?
Preston has been working for Thompson Industries for just over a year and has been part of Thompson's deferred profit sharing plan (DPSP) program from his start date. Preston wants to know more about these types of plans.
What would you tell Preston about DPSPs?
正確答案: B
說明：（僅 NewDumps 成員可見）
問題5
Winter is a Dealing Representative with Top Tier Investing, a mutual fund dealer and member of the Mutual Fund Dealers Association of Canada (MFDA). Which of the following statements about Winter's suitability obligation is CORRECT?
Winter is required to make a suitability determination every time:
i) she makes a recommendation to a client
ii) a client's investment returns decline.
iii) she opens a new client account
iv) the markets fluctuate.
Winter is a Dealing Representative with Top Tier Investing, a mutual fund dealer and member of the Mutual Fund Dealers Association of Canada (MFDA). Which of the following statements about Winter's suitability obligation is CORRECT?
Winter is required to make a suitability determination every time:
i) she makes a recommendation to a client
ii) a client's investment returns decline.
iii) she opens a new client account
iv) the markets fluctuate.
正確答案: B
說明：（僅 NewDumps 成員可見）
問題6
Davis invested in a tactical asset allocation fund in his non-registered investment account. Distributions from the mutual fund are paid directly to Davis and not reinvested. Assuming a federal marginal tax rate of 26%, dividend gross-up rate of 38% and federal dividend tax credit rate of 15%, which type of distribution would result in the lowest amount of tax payable?
Davis invested in a tactical asset allocation fund in his non-registered investment account. Distributions from the mutual fund are paid directly to Davis and not reinvested. Assuming a federal marginal tax rate of 26%, dividend gross-up rate of 38% and federal dividend tax credit rate of 15%, which type of distribution would result in the lowest amount of tax payable?
正確答案: C
說明：（僅 NewDumps 成員可見）
問題7
Which investor's needs would be BEST met with an income trust?
Which investor's needs would be BEST met with an income trust?
正確答案: A
說明：（僅 NewDumps 成員可見）
問題8
Terri, 30 years old, is the marketing manager at Provincial Winery with an average annual income of $60,000.
Her spouse Yvette, 28 years old, is a project manager with a telecommunications firm earning
$70,000 per year. You are helping them to organize their investments and are trying to assess their financial resources.
Which of the following is the best question to ask?
Terri, 30 years old, is the marketing manager at Provincial Winery with an average annual income of $60,000.
Her spouse Yvette, 28 years old, is a project manager with a telecommunications firm earning
$70,000 per year. You are helping them to organize their investments and are trying to assess their financial resources.
Which of the following is the best question to ask?
正確答案: B
說明：（僅 NewDumps 成員可見）
問題9
Which of the following is a conflict of interest that should be AVOIDED?
Which of the following is a conflict of interest that should be AVOIDED?
正確答案: D
說明：（僅 NewDumps 成員可見）