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CISI Investment Funds in Canada (IFC) Exam IFC Prüfungsfragen mit Lösungen (Q318-Q323):

318. Frage
In which of the following situations would the client mobility exemption apply?

A. Karl is a registered dealing representative in Dauphin, Manitoba. 30 of his clients who work for the same company are being relocated to British Columbia. He wants to retain these clients. His mutual fund dealer is registered in British Columbia, but Karl is not.
B. Sigrid's brother-in-law has agreed to be her client. She is a registered dealing representative in Ottawa, Ontario and he lives in Hull, Quebec. Both Sigrid and her mutual fund dealer are currently registered in Quebec.
C. Olaf is a registered dealing representative in Sunnyside, Prince Edward Island. His client Jules is moving to Moncton, New Brunswick. Olaf's mutual fund dealer is not currently registered in New Brunswick but is in the process of applying there.
D. Although her mutual fund dealer is registered in all provinces and territories, Lori is only registered as a dealing representative in Saskatchewan. Last year, three of Lori's clients moved to Alberta and now two more are moving to that province. Lori wants to continue servicing these clients.

Antwort: D

Begründung:
The client mobility exemption is a provision in the National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations that allows a registered individual to continue dealing with a client who moves to another jurisdiction without having to register in that jurisdiction, subject to certain conditions. One of the conditions is that the individual must not have more than five clients in each of the other jurisdictions where they are not registered. Therefore, the client mobility exemption would apply to Lori' s situation, as she has five or fewer clients in Alberta, where she is not registered. The client mobility exemption would not apply to the other situations, as they do not meet the conditions for the exemption. For example, Olaf's mutual fund dealer is not registered in New Brunswick, which is a requirement for the exemption. Sigrid's brother-in-law is not an existing client who moved to another jurisdiction, but a new client who resides in a different jurisdiction. Karl has more than five clients in British Columbia, where he is not registered, which exceeds the limit for the exemption.
Canadian Investment Funds Course, Chapter 1: The Canadian Financial Services Industry1

319. Frage
Beatrice is looking for comprehensive information regarding the analysis of financial statements and fund management expenses as it relates to her current mutual fund investment.
Which document would provide the information she is looking for?

A. Annual Information Form
B. Management Reports of Fund Performance
C. Fund Facts
D. Simplified Prospectus

Antwort: B

Begründung:
The Management Reports of Fund Performance (MRFP) are documents that provide information about a mutual fund's financial performance, portfolio composition, risk profile, and management expenses. The MRFP are prepared by the fund manager and filed with the securities regulators twice a year, for the semi- annual and annual periods. The MRFP are also made available to the investors on the fund manager's website or upon request. The MRFP include the following sections:
* Financial Highlights: This section summarizes the key financial data of the fund, such as net assets, net asset value per unit, total return, ratios and supplemental data.
* Past Performance: This section shows the historical returns of the fund over different time periods and compares them with a benchmark index or category average.
* Summary of Investment Portfolio: This section provides a breakdown of the fund's portfolio by asset class, sector, geographic region, and top holdings. It also shows how the portfolio has changed over the reporting period.
* Management Discussion of Fund Performance: This section explains the fund's investment objectives, strategies, and risks, and analyzes the factors that affected the fund's performance during the reporting period. It also discloses the fund's management expense ratio (MER), trading expense ratio (TER), and turnover rate.
* Financial Statements: This section presents the fund's statement of financial position, statement of comprehensive income, statement of changes in net assets attributable to holders of redeemable units, and statement of cash flows. It also includes notes to the financial statements that provide additional information and disclosures.
The MRFP would provide Beatrice with comprehensive information regarding the analysis of financial statements and fund management expenses as it relates to her current mutual fund investment.
Canadian Investment Funds Course, Chapter 6: Fund Operations and Regulations1

320. Frage
Which organization regulates mutual and investment funds?

A. Investment Industry Regulatory Organization of Canada (IIROC)
B. ICE Futures Canada
C. Securities commissions
D. Bourse de Montreal

Antwort: C

Begründung:
Comprehensive and Detailed Explanation From Exact Extract:
Securities commissions are responsible for regulating mutual and investment funds in Canada. The feedback from the document confirms:
"The responsibility of regulating mutual funds lies with the securities commissions." Reference:Chapter 2 - Overview of the Canadian Financial MarketplaceLearning Domain:An Introduction to the Mutual Funds Marketplace

321. Frage
Wilma has always used the services of a tax preparation firm to file her taxes but is skeptical that she has really benefitted. This year she plans to file her own taxes for the first time.
What would be useful for her to know?

A. Wilma's top marginal tax rate will be applied to every taxable dollar when her tax return is filed.
B. Wilma's marginal tax rate may be lowered when tax deductions are applied to her total income.
C. Wilma's non-refundable tax credits may only reduce her taxable income dollar-for-dollar.
D. Wilma's tax deductions permit her to reduce her tax payable dollar-for-dollar.

Antwort: B

Begründung:
Tax deductions are amounts that reduce your total income before calculating your tax payable. They lower your marginal tax rate, which is the tax rate that applies to your last dollar of income. For example, if Wilma's total income is $50,000 and she claims $5,000 in tax deductions, her taxable income will be $45,000 and her marginal tax rate will be lower than if she had no deductions. Therefore, A is the correct answer.
References: All deductions, credits, and expenses - Personal income tax - Canada.ca

322. Frage
A husband wishes to transfer some of his non-registered mutual fund holdings to his wife, but wants to maintain trading authority over the transferred assets. He also wishes to ensure that should she die, the gift he is making will revert to him. What is the appropriate account type?

A. Open a nominee account
B. Open a tenants in common account
C. Open an account in his wife's name only
D. Open a joint account

Antwort: D

Begründung:
Comprehensive and Detailed Explanation From Exact Extract:
A joint account allows the husband to retain trading authority and includes the right of survivorship, ensuring the assets revert to him if his wife dies. The feedback from the document states:
"The husband would have no financial interest in a client name account, registered in his wife's name only. A nominee account would transfer trading authority to a dealer or third-party administrator. In a tenants in common account, each spouse would have trading authority over his/her portion of the account. Therefore, the husband's best option would be to open a joint account and retain full trading authority. A joint account would also offer the right of survivorship, which is not a feature of a tenants in common account." Reference:Chapter 17 - Mutual Fund Dealer RegulationLearning Domain:Ethics, Compliance and Mutual Fund Regulations

323. Frage
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