Valid CSC1 Study Guide - Vce CSC1 File

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CSI Canadian Securities Course Exam 1 Sample Questions (Q35-Q40):

NEW QUESTION # 35
What is the mostcost-effectivechannel an investor can use to Invest in derivativeproducts?

A. A full-service broker
B. An investment boutique
C. A self-director broker
D. An integrated firm

Answer: C

Explanation:
Self-directed brokers are the most cost-effective option for investing in derivatives. They provide a platform for investors to execute trades independently without the additional costs associated with advisory services offered by full-service brokers. Investors are charged lower transaction fees, making this option ideal for cost- conscious individuals who are comfortable making their own investment decisions.
* B. A full-service broker: Full-service brokers charge higher fees because they provide additional advisory and management services.
* C. An integrated firm: Integrated firms offer both retail and institutional services, which generally come with higher fees compared to self-directed platforms.
* D. An investment boutique: Boutique firms typically specialize in niche markets and may have higher service costs, which are not ideal for cost-effective derivatives trading.

NEW QUESTION # 36
When sharesof GHI Inc. (GHI) traded at S50. aninvestor wrote five "GHI December 45" puts for a premium of $1,20. How much cash must the investor have in their account to be a cash-secured out writer?

A. $25, 000
B. $22,500
C. $24,400
D. $21,900

Answer: D

Explanation:
The investor wrote 5 put options ("GHI December 45") at a strike price of $45 with 100 shares per contract (5
× 100 = 500 shares). The cash-secured amount ensures the writer can cover the purchase if exercised:
* Obligation Amount:500 shares × $45 = $22,500.
* Premium Received:$1.20 × 500 = $600.
* Net Cash Requirement:$22,500 - $600 =$21,900.
This ensures the investor has enough funds to purchase the shares if the put options are exercised.

NEW QUESTION # 37
What tern describes the requirementof registrants to collectextensive personal and financial Information from individuals before making an investment recommendation?

A. Gatekeeper obligations.
B. Suitability rule
C. Know Your Client rule.
D. Fiduciary duty

Answer: C

Explanation:
TheKnow Your Client (KYC) rulerequires registrants to gather detailed personal and financial information from clients before providing investment advice or making recommendations. This ensures that investment recommendations align with the client's financial goals, risk tolerance, and circumstances.
* This obligation is critical for ensuring suitability in investment products and maintaining regulatory compliance.
* Suitability rule (A)refers to matching investments to a client's needs but comes after gathering KYC information.
* Gatekeeper obligations (C)focus on preventing illegal activities like money laundering.
* Fiduciary duty (D)applies to acting in the best interest of the client but is broader in scope.
References:Volume 1, Chapter 3 ("Know Your Client Rule").

NEW QUESTION # 38
Assume the Government of Canada issues new fixed-incomesecurities with an original term to maturity sixmonthsthat does not pay interest, which type of fixed-income securities were issued?

A. Term deposits
B. Commercial paper
C. Treasury bills
D. Guaranteed bonds

Answer: C

Explanation:
Treasury bills (T-bills) are short-term fixed-income securities issued by the Government of Canada with maturities of one year or less, including terms as short as six months or less. They do not pay interest in the conventional sense. Instead, they are sold at a discount to their facevalue, and investors receive the full face value upon maturity. The difference between the purchase price and the face value represents the investor's earnings.
* A. Guaranteed bonds: These are long-term securities that pay periodic interest (coupons) and do not fit the short-term, non-interest-paying description of T-bills.
* B. Commercial paper: Issued by corporations, not governments, and used to finance short-term liabilities.
* D. Term deposits: These are bank products, not government securities, and typically pay interest over their term.

NEW QUESTION # 39
Where docs primary responsibility for gatekeeping inthe securities industry reside?

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

Answer: D

Explanation:
The primary responsibility for gatekeeping in the securities industry resides with CIRO (Canadian Investment Regulatory Organization) dealer members and their employees. This gatekeeping role includes adhering to regulations, implementing Know Your Client (KYC) and Know Your Product (KYP) rules, and ensuring compliance with ethical standards and client-focused reforms.
Dealer members and their employees must ensure that the products and services offered are suitable for their clients and that any potential conflicts of interest are managed appropriately.
Study Document References:
* Volume 1, Chapter 3:The Gatekeeper Role in Securities Regulation, focusing on the responsibilities of CIRO dealer members.

NEW QUESTION # 40
......

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Valid CSC1 Study Guide - Vce CSC1 File

Ace Your CSI CSC1 Exam with Online Practice Test Engine Designed by Experts

CSI Canadian Securities Course Exam 1 Sample Questions (Q35-Q40):

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