Canadian Securities Course (CSC) Exam 2 CSC2 Dumps (V8.02) with Actual Exam Questions: CSC2 Free Dumps (Part 1, Q1-Q40) for Reading Online

1. What type of investment typically involves massive amounts of capital provided by a small number of investors?

2. Tom sold some bonds in his RRSP and used the total $100,000 in proceeds to buy a 75% guaranteed segregated fund. Three years later, Tom died. At the time of his death, the market value of the segregated fund was $700,000.

Assuming no interim withdrawal on market value reset, what is the death benefit payable from this investment?

3. What type of return is adjusted for inflation?

4. How can an analyst use trend analysis to analyze a company’s financial statements?

5. For what type of company is the dividend discount model least applicable?

6. What type of return is calculated for a security held for 18 months if no adjustments to the return are made?

7. What are examples of primary investment objectives?

8. Which investor right must be disclosed in a Fund Fact document?

9. Who generally executes portfolio strategy within a buy-side firm?

10. Which is a typical feature of investing in a listed private equity company?

11. What action must an investment advisor take when submitting a trade ticket for a short sale?

12. Which type of trader specializes in managing block trades on behalf of institution clients?

13. A business trust would typically purchase the underlying company assets of which type of operation?

14. A young couple is looking to buy a house in the near future with a down payment.

What type of investment should they consider for their portfolio?

15. What is the meaning of ex-ante return?

16. After reviewing a client’s risk tolerance, time horizon and financial objectives. Andy recommends that a long-term asset mix of 55% equities, 40 bonds and 5% cash would be most appropriate for the client.

Which approach has Andy taken in his recommendation?

17. What is one advantage of implementing indexing investing style?

18. Which factors tends to increase when inflation increases?

19. What do technical analysis and fundamental analysis have in common?

20. An advisor to explain the benefits of labour sponsored funds (LSVCC) to some of his clients.

With which client should the advisor have this discussion?

21. In which type of ETF does the portfolio manager select securities and their weighting to best match the performance of an index?

22. Franco purchased an ETF in his non-registered account, and his total adjusted cost base in year 1 was $30,000. The ETF distributes income each year. And this reinvested distribution total was $1,750. The ETF also distributes a return of capital of $850.

What would Franco’s total capital gain be if the sold the ETF for $39,000?

23. Which will taxed at the taxpayer’ marginal tax rate?

24. A client who seeks advice from an investment advisor but does not require financial planning guidance.

Which platform is most appropriate for this client?

25. For institutional trading, when does the investor need to provide trade-matching elements?

26. What information must be disclosed in ETF Facts documents that may be excluded from Fund Facts documents?

27. Jerry sells Company A’s regular bond because the thinks it is overvalued. Using the proceeds from the sale, jerry then busy Company A’s convertible bond because the thinks that the equity component is undervalued and that he convertible bond’s coupon rate is relatively attractive given his forecast of falling interest rates.

What fixed-come management style is jerry most likely using?

28. In March of this year, a client buys 1,000 PIL inc, common shares at $16 per share and pays a commission of $25 on the purchase. Several months later in the same year, the client sell the shares at $12 per share and pays commission of $50 on the sale.

What is the client’s allowable capital loss on the transaction?

29. When considering the overall investment objectives of liquid alternatives, what time horizon is the most appropriate for retail investors when investing in these funds?

30. What must happen for a redemption to be processed from a mutual fund?

31. What industry stocks tend to have lower betas than the market?

32. What is a structured product?

33. Which macroeconomic factors would have a positive impact on investor expectations and the price of securities?

34. What is the key objective for investors in alternative strategy funds?

35. What types of product would be immune to the effects to tracking error?

36. 1.The following financial information is available for fund SKE:

What is SKE fund’s net asset value per share?

37. A shareholder receive rights from a company through direct ownership in shares. Not expecting to exercise them, she sells the right on the relevant exchange.

What is her capital gain?

38. Which ratio gauges a company’s ability to repay its debts using funds generated from operating activities?

39. What is the measure of risk commonly applied to portfolio and to individual securities within that portfolio?

40. What is the reason for an individual to use an estate freeze?