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By:
Matthew Leong
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Decks in this class (30)
Chapter 13 Fundamental and Technical Analysis KT
An industry with a record of stab...,
Chart formations that usually pre...,
A method of market and security a...
18
cards
Chapter 13 Fundamental and Technical Analysis RQ
Identify the theory that suggests...,
Identify the stage when an indust...,
Samra believes that the canadian ...
15
cards
Chapter 14 Company Analysis KT
A debt ratio that tests ability o...,
Financial ratios that are used to...,
A financial ratio that shows a co...
18
cards
Chapter 14 Company Analysis RQ
Identify the ratio an analyst wou...,
Karim is interested investing in ...,
Select the correct statements abo...
15
cards
Chapter 15 Introduction to the Portfolio Approach KT
The type of risk where changes in...,
The type of gain from selling a s...,
The type of risk associated with ...
18
cards
Chapter 15 Introduction to the Portfolio Approach RQ
A portfolio is equally allocated ...,
Larry purchased 100 ghi common sh...,
Identify the security that typica...
15
cards
Chapter 16 The Portfolio Management Process KT
8944 182nd street nw suite 316,
The agreement between a portfolio...,
An asset allocation strategy that...
6
cards
Chapter 16 The Portfolio Management Process RQ
Identify how diversification is a...,
Which asset allocation strategy i...,
Select the cash allocation that a...
15
cards
Chapter 17 Mutual Funds: Structure and Regulation KT
An investment fund that uses proc...,
A firm that holds the securities ...,
A sales charge applied on the red...
18
cards
Chapter 17 Mutual Funds: Structure and Regulation RQ
Calculate the management expense ...,
An investor purchases 10 000 of a...,
Ms smythe decides to redeem her i...
15
cards
Chapter 18 Mutual Funds: Types and Features KT
A withdrawal plan where the inves...,
A plan that enables set amounts t...,
A method of fund valuation that w...
18
cards
Chapter 18 Mutual Funds: Types and Features RQ
Ridwan received a t5 for a mutual...,
Why do some advisors caution inve...,
Identify the correct statements c...
15
cards
Chapter 19 Exchange: Traded Funds KT
Etf that seeks to replicate net o...,
Etfs that employ covered calls to...,
The broker who has a contractual ...
18
cards
Chapter 19 Exchange: Traded Funds RQ
Identify the correct statement re...,
Alessandro has just purchased a l...,
Sue ling is interested in investi...
15
cards
Chapter 20 Alternative Investments: Benefits, Risks, and Structure KT
A document prepared by the dealer...,
A fund whose portfolio consists o...,
A type of mutual fund also known ...
12
cards
Chapter 20 Alternative Investments: Benefits, Risks, and Structure RQ
What does a hedge fund s lockup p...,
Which of the following offering d...,
Which of the following represents...
15
cards
Chapter 21 Alternative Investments: Strategies and Performance KT
Designed to exploit inefficiencie...,
Invests in the equity or debt sec...,
A type of hedge fund that seeks t...
12
cards
Chapter 21 Alternative Investments: Strategies and Performance RQ
What is exchange rate dislocation...,
What type of equity hedge fund st...,
Equity market neutral is an examp...
15
cards
Chapter 22 Other Managed Products KT
Also known as the owner of a segr...,
A type of investment that holds i...,
A contract provision which allows...
12
cards
Chapter 22 Other Managed Products RQ
If the reset value is higher than...,
How are segregated funds able to ...,
In the event of default of one of...
15
cards
Chapter 23 Structured Products KT
The type of risk where the mortga...,
Bonds that claim ownership to a p...,
A security created to divide the ...
12
cards
Chapter 23 Structured Products RQ
What do principal protected notes...,
What provides the potential for r...,
An investor purchases a 5 year pp...
15
cards
Chapter 24 Canadian Taxation KT
A type of registered pension plan...,
A tax deferral vehicle available ...,
A type of registered pension plan...
18
cards
Chapter 24 Canadian Taxation RQ
A canadian resident in the 29 fed...,
An investor purchased shares of x...,
An investor purchased a bond for ...
15
cards
Chapter 25 Fee-Based Accounts KT
A team of professionals that hand...,
A general term for a securities a...,
A type of fee based account inclu...
6
cards
Chapter 25 Fee-Based Accounts RQ
A client holds a passively manage...,
Identify who directs the composit...,
What is the primary disadvantage ...
15
cards
Chapter 26 Working With the Retail Client KT
The responsibility to conduct due...,
Making decisions based on the pri...,
A model used in financial plannin...
6
cards
Chapter 26 Working With the Retail Client RQ
David breay recently retired has ...,
An investment advisor s responsib...,
How often at a minimum should a f...
15
cards
Chapter 27 Working With the Institutional Client KT
Has the responsibility of managin...,
Has a primary function of executi...,
Reports to a senior analyst mainl...
16
cards
Chapter 27 Working With the Institutional Client RQ
What is the middle office of an i...,
What is a primary activity of the...,
What does iiroc rule 3403 require...
15
cards
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CSC Volume 2
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