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CSI Canadian Securities Course Exam 1 Sample Questions (Q69-Q74):

NEW QUESTION # 69
A politician promises to lower income taxes and increase government spending on social programs. but once selected her government's high debt level prevents her from doing so. Which challenge has this politician faced?

A. Co-ordination of federal, Provincial, and municipal policies
B. Unsynchronized fiscal and monetary policies.
C. Timing lags
D. Political business cycle

Answer: C

Explanation:
Timing lags refer to delays between the implementation of fiscal policy measures (such as tax cuts or increased government spending) and their impact on the economy. In this case, the politician's government was unable to implement the promised fiscal policies due to the high debt level, which delayed or negated the planned economic measures.
This reflects the challenge of timing lags in fiscal policy, where structural constraints (such as debt levels) prevent timely execution.
References:
* Volume 1, Chapter 5:Economic Policyunder "Challenges of Government Policy" discusses timing lags in implementing fiscal measures (CSC Volume 1, Chapter 5).

NEW QUESTION # 70
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 # 71
Which activity performed bythe Bank of Canada reflects role as the fiscal agent for the federal government?

A. Designing and distributing bank notes.
B. Providing advice on debt Issuances based on its assessment of the capital markets.
C. Working with domestic and international regulatory bodies
D. Preserving the value of the Canadian dollar by keeping inflation low

Answer: B

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 # 72
What is margin in an equity transaction?

A. Loan that a dealer extends to a client to buysecurities.
B. interest paid by the client to borrows securities.
C. Amount paid by a client when he uses credit to buy securities
D. Good-faith deposit to ensure the client will make future financial obligations

Answer: A

Explanation:
In an equity transaction,marginrefers to the loan that a dealer extends to a client to facilitate the purchase of securities. The client pays a portion of the purchase price (the margin requirement), while the dealer provides the remainder as a loan. This enables clients to leverage their investments and potentially enhance returns, albeit with increased risk.
Other options:
* Amount paid by a client when using credit to buy securities: Describes the margin requirement but does not fully define margin.
* Good-faith deposit to ensure future financial obligations: Refers to initial margin in derivatives trading, not equity transactions.
* Interest paid by the client to borrow securities: Refers to short-selling, not buying on margin.
References:
* Volume 1, Chapter 9:Equity Transactions, section on "Margin Accounts" explains the mechanics of margin trading and loans.

NEW QUESTION # 73
What is the settlement date for Government of Canada bones?

A. Three business days after the transaction.
B. Two business days after the transaction
C. One business day after the transaction
D. same day me transaction takes place.

Answer: C

Explanation:
The settlement date for Government of Canada bonds follows theT+1 rule, meaning settlement occursone business day after the transaction date. This rule ensures efficient clearing and settlement processes in the government bond market.
* B. Same day the transaction takes place: While this applies to some instruments in rare cases (e.g., cash transactions), it is not the standard for Government of Canada bonds.
* C. Two business days after the transaction (T+2): This applies to equity trades and corporate bonds but not government bonds.
* D. Three business days after the transaction (T+3): This is an outdated settlement timeline.

NEW QUESTION # 74
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Chris White Chris White

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CSI CSC1 PDF Questions Format

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CSI Canadian Securities Course Exam 1 Sample Questions (Q69-Q74):

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Chris White Chris White

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CSI CSC1 PDF Questions Format

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CSI Canadian Securities Course Exam 1 Sample Questions (Q69-Q74):

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