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CSI Canadian Securities Course Exam 1 Sample Questions (Q24-Q29):
NEW QUESTION # 24
An investor feels unfairly treatedby a stockbroker regarding a setof transactions. After a discussion of the situation Between the investor and the member, the investor and the member, the investor is still dissatisfied.
What is the best requestthat the investor could make to seek compensation?
- A. An investigation by the Ombudsman for Banking Service and investments.
- B. A rescission of the objectionable trades.
- C. An Independent arbitration.
- D. A payment from the Canadian investor Protection Fund.
Answer: C
Explanation:
When an investor feels unfairly treated by a stockbroker, and the issue is not resolved through direct discussion with the member firm, the next step often involves pursuing a formal dispute resolution mechanism. The options available in the Canadian securities industry for handling such disputes include:
* Rescission of the objectionable trades:
* This would involve canceling or reversing the trades in question. However, rescission is rarely granted and typically occurs only if there is clear evidence of fraud or legal impropriety. It is not the best initial course of action for dispute resolution.
* Payment from the Canadian Investor Protection Fund (CIPF):
* The CIPF protects clients of member firms in the event of the firm's insolvency, not disputes over trades or treatment by a broker. Therefore, this is not applicable in this case.
* Independent arbitration:
* Arbitration is a widely recognized method of resolving disputes in the securities industry. It involves an independent arbitrator reviewing the case and issuing a binding decision. It is particularly suitable for cases where discussions between the investor and the firm have not resolved the issue.
* Investigation by the Ombudsman for Banking Services and Investments (OBSI):
* OBSI offers a dispute resolution service for clients of financial institutions, including investment dealers. However, OBSI's findings are non-binding, meaning they cannot compel the member firm to act or pay compensation. Arbitration, on the other hand, provides a binding resolution.
Why Arbitration is the Best Option:
Independent arbitration is a more definitive course of action because it results in a binding decision that both the investor and the broker must adhere to. Arbitration is designed to handle precisely the type of disputes described in the question and ensures a fair process overseen by an impartial third party.
References:
* Canadian Securities Course Volume 1:
* Section on Dispute Resolution and Investor Protection: Arbitration is discussed as a key method for resolving disputes where the investor seeks a binding resolution.
* Role of the Canadian Investor Protection Fund: The CIPF is explained as providing coverage for insolvency, not dispute resolution.
* Role of the Ombudsman for Banking Services and Investments (OBSI): OBSI is explained as offering non-binding recommendations, making it less suitable for cases where binding decisions are needed.
NEW QUESTION # 25
What Is the requirementestablished by the Canadian Radio-television and Telecommunications Commission that applies to an advisor who is cold calling potential new clients?
- A. An advisor must advise DNCL registrants within the first minute that it is a sales call
- B. An advisor must make sales calls only during regular business hours
- C. An advisor must subscribe to the National Do Not car List (DNCL)
- D. An advisor must not can any person who has been a DNCL registrant for more than one day
Answer: C
Explanation:
Advisors making cold calls to potential clients must comply with the Canadian Radio-television and Telecommunications Commission's (CRTC) regulations, which include subscribing to the National Do Not Call List (DNCL). This ensures they do not call individuals registered on the DNCL, protecting consumers from unwanted solicitations.
References:
* Volume 1, Chapter 3:The Canadian Regulatory Environment, section on "Ethical and Legal Standards" includes compliance requirements related to cold calling, such as the DNCL regulations.
NEW QUESTION # 26
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 labour force.
- B. A decrease in the structural unemployment rate.
- C. A decrease in the overall unemployment rate.
- D. An increase in the participation 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 # 27
Which activity performed bythe Bank of Canada reflects role as the fiscal agent for the federal government?
- A. Working with domestic and international regulatory bodies
- B. Preserving the value of the Canadian dollar by keeping inflation low
- C. Designing and distributing bank notes.
- D. Providing advice on debt Issuances based on its assessment of the capital markets.
Answer: D
Explanation:
As the fiscal agent for the federal government, the Bank of Canada provides advice on debt management and issuance strategies, including assessments of capital markets. This role involves managing federal government debt and ensuring efficient market functioning.
References:
* Volume 1, Chapter 5:Economic Policyunder "The Role of the Bank of Canada" details the Bank's fiscal agent role in managing government debt (CSC Volume 1, Chapter 5).
NEW QUESTION # 28
What bond should an advisorrecommend to someone who wants to hold bonds and maximize potential cap-tai gams when interest rates are expected to fall?
- A. A long-term bond with a high coupon.
- B. A short-term bond with a high coupon.
- C. A long-term bond with a low coupon.
- D. A short-term bond with a low coupon.
Answer: C
Explanation:
Along-term bond with a low couponwill maximize capital gains when interest rates fall. Here's why:
* Long-term bondsare more sensitive to interest rate changes due to their longer duration, which amplifies the price movement.
* Low coupon bondsare more affected by changes in interest rates compared to high coupon bonds because more of their value comes from the principal repayment rather than periodic interest payments.
Other options:
* Short-term bonds: Have lower duration and less sensitivity to interest rate changes, so they do not maximize capital gains.
* High coupon bonds: Are less sensitive to interest rate changes because of their higher periodic cash flows.
References:
* Volume 1, Chapter 7:Fixed-Income Securities: Pricing and Trading, section on "Impact of Maturity and Coupon on Bond Prices" explains the relationship between interest rate changes, bond duration, and price sensitivity.
NEW QUESTION # 29
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