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CSI Canadian Securities Course Exam2 Sample Questions (Q99-Q104):
NEW QUESTION # 99
For institutional trading, when does the investor need to provide trade-matching elements?
- A. One the custodian confirms the trade.
- B. With the initial order.
- C. After the dealer issues a trade execution notice.
- D. Once the trade clears.
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 # 100
In which type of ETF does the portfolio manager select securities and their weighting to best match the performance of an index?
- A. Synthetic.
- B. Sampling
- C. Full replication
- D. Rules-based
Answer: C
Explanation:
In ETFs, portfolio management involves selecting securities to match an index's performance. Full replication is a method where the portfolio manager buys all the securities in the index in their exact proportions.
* Full Replication:
* Involves holding every security in the index.
* Ensures minimal tracking error and high fidelity to the benchmark.
* Suitable for highly liquid and straightforward indexes like the S&P/TSX Composite.
* Sampling:
* Used for large, complex indexes where holding all securities is impractical.
* Selects a representative sample to approximate the index's performance.
* Rules-Based and Synthetic ETFs:
* Employ predefined rules or derivatives rather than physical securities.
Types of ETF Management ApproachesWhy D is CorrectOption D reflects the primary method of mirroring an index's performance through full replication, ensuring accuracy and minimal tracking error.
References:
* Volume 2, Section 19: Exchange-Traded Funds-Full Replication vs. Sampling.
* Volume 2, Section 13: Efficient Market Hypothesis-Implications for Passive Management.
NEW QUESTION # 101
What is a characteristic of the FTSE Canada Universe Bond Index?
- A. It is an equal-weighted bond Index with each bond representing the same weight within the index.
- B. It measures the total price return on bonds including realized and unrealized gains
- C. It represents a full cross-section of government and corporate bonds.
- D. It Includes Canadian investment-grade bonds with a term to maturity of one year or less.
Answer: C
Explanation:
The FTSE Canada Universe Bond Index represents a comprehensive cross-section of investment-grade government and corporate bonds denominated in Canadian dollars. It includes bonds with a term to maturity of one year or more and excludes high-yield (non-investment-grade) bonds.
* A. It measures the total price return on bonds including realized and unrealized gains: The index does not account for realized gains; it tracks price movements and interest income.
* C. It includes Canadian investment-grade bonds with a term to maturity of one year or less: Bonds in this index must have a term to maturity of at least one year, not less.
* D. It is an equal-weighted bond index with each bond representing the same weight within the index:
The FTSE Canada Universe Bond Index is capitalization-weighted, not equal-weighted.
NEW QUESTION # 102
Based on market capitalization. which sector of the SSP.'TSX Composite index has one of the highest weightings within the index?
- A. Energy
- B. Information technology
- C. Health care
- D. Utilities
Answer: A
Explanation:
TheEnergy sectoris one of the highest-weighted sectors in theS&P/TSX Composite Indexbased on market capitalization. This reflects Canada's resource-rich economy, where energy companies, including oil, gas, and related services, make up a significant portion of the market.
Other options:
* Health care: A relatively small portion of the index.
* Utilities: Have a smaller weight compared to energy.
* Information technology: While growing, it has not surpassed energy in weight within the Canadian market.
References:
* Volume 1, Chapter 8:Equity Securities, section on "Canadian Market Indexes" outlines the composition and sectoral weightings of the S&P/TSX Composite Index.
NEW QUESTION # 103
Which statutory right allows a purchaser to caned their order if a prospectus has a misrepresentation?
- A. Right of amended prospectus delivery
- B. Right of action for damages
- C. Right of withdrawal.
- D. Right of rescission.
Answer: D
Explanation:
Theright of rescissionallows a purchaser to cancel their purchase if the prospectus contains a misrepresentation. This statutory right protects investors by ensuring that they are not bound by transactions based on incorrect or misleading information. Under Canadian securities law, the right of rescission is an important safeguard to maintain market integrity and investor confidence.
This right is distinct from theright of action for damages, which allows investors to sue for compensation, and theright of withdrawal, which permits cancellation within a limited time after agreeing to the purchase, typically two business days.
References:
* Volume 1, Chapter 3:The Canadian Regulatory Environment, section on "Rights of Purchasers" describes the statutory rights related to prospectuses and their misrepresentations.
NEW QUESTION # 104
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