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CSI Canadian Securities Course Exam2 Sample Questions (Q68-Q73):

NEW QUESTION # 68
What is the likely outcome at the end of a five-year term of a rate-reset preferred share if the issuer does not redeem the shares?

A. The shareholder exchanges the rate-reset preferred share for an unsecured bond
B. The shareholder exchanges the rate-reset preferred share for a fixed-rate preferred share.
C. The shareholder exchanges the rate-reset preferred share for a specified number of common shares.
D. The shareholder exchanges the rate-reset preferred share for a floating-rate preferred share

Answer: D

Explanation:
At the end of the five-year term, if the issuer does not redeem the rate-reset preferred shares, the shareholder can choose to:
* Continue holding the shares at the reset fixed rate.
* Convert them intofloating-rate preferred shareswith rates tied to a benchmark (e.g., prime or LIBOR).
This conversion offers flexibility to the shareholder based on market conditions.
* A. Exchange for a specified number of common shares: Rate-reset preferred shares do not have this feature.
* B. Exchange for a fixed-rate preferred share: The fixed-rate component is reset, not exchanged.
* C. Exchange for an unsecured bond: This is not a feature of rate-reset preferred shares.

NEW QUESTION # 69
What action must an investment advisor take when submitting a trade ticket for a short sale?

A. Obtain minimum margin amount from client
B. Mark the sell-order ticket as a short sate
C. Verify the client can borrow the shares.
D. Mark it as a margin order

Answer: B

Explanation:
When submitting a trade ticket for a short sale, an investment advisor mustmark the sell-order ticket as a short sale. This ensures compliance with regulatory requirements and informs the broker and exchange that the sale involves borrowed shares. Marking the order appropriately helps maintain transparency and enables monitoring for potential market manipulation.
* A. Verify the client can borrow the shares: The responsibility for ensuring share availability lies with the broker, not the advisor.
* C. Obtain minimum margin amount from client: This is done separately as part of the account setup and transaction process, not when submitting the trade ticket.
* D. Mark it as a margin order: Short sales involve margin, but the ticket must specifically indicate "short sale" rather than just "margin."

NEW QUESTION # 70
Who generally executes portfolio strategy within a buy-side firm?

A. Investment advisor.
B. Trader
C. Portfolio manager.
D. Head of fixed income

Answer: C

Explanation:
Within a buy-side firm, theportfolio manageris responsible for executing the portfolio strategy. They oversee investment decisions, asset allocation, and security selection based on the investment mandate and client objectives. Other roles:
* Head of fixed income(B) specializes in fixed-income securities rather than overall strategy.
* Investment advisor(C) interacts with clients, focusing on advice rather than execution.
* Trader(D) carries out transactions but does not set the portfolio strategy.
References
* CSC Volume 2, Chapter 27:Working with the Institutional Client - The Buy-Side Portfolio Manager, p.
27-8.

NEW QUESTION # 71
When a company issues a number of common shares, some of which are held by institutional investors, what are the institutional investors' shares known as?

A. Public float shares.
B. Market capitalization shares.
C. Outstanding shares.
D. issued shares

Answer: A

Explanation:
The shares held by institutional investors, along with other shares available for trading by the public, are referred to as thepublic float shares. These are the issued shares of a company that are actively traded in the market, excluding restricted shares held by insiders or strategic investors.
Other options:
* Issued shares: Includes all shares a company has issued, including restricted shares.
* Outstanding shares: Includes all shares held by all shareholders, including restricted shares and shares not available for trading.
* Market capitalization shares: Not a term used to describe shares; market capitalization is a measure of a company's total value based on its stock price and outstanding shares.
References:
* Volume 1, Chapter 8:Equity Securities, section on "Public Float and Market Capitalization" explains the concept of public float shares.

NEW QUESTION # 72
When considering the overall investment objectives of liquid alternatives, what time horizon is the most appropriate for retail investors when investing in these funds?

A. Medium-term
B. Short-to medium-term
C. Short-term
D. Long-term

Answer: D

Explanation:
Liquid alternatives, also known as alternative mutual funds, combine features of traditional mutual funds with hedge fund-like strategies. They provide access to alternative investments such as derivatives, short-selling, and leverage while adhering to stricter regulations for retail investors. These funds are designed to achieve diversification and risk-adjusted returns that are less correlated with traditional stock and bond markets.
When considering liquid alternatives, a long-term investment horizon is most appropriate for retail investors.
The key reasons include:
* Volatility and Complexity: Liquid alternatives can be more volatile than traditional funds due to their use of sophisticated strategies like leverage or derivatives. This requires a long-term outlook to weather short-term fluctuations.
* Objective of Absolute Returns: Liquid alternatives are often structured to provide positive returns over a full market cycle, which typically spans several years.
* Diversification Benefits: The risk mitigation offered by these funds unfolds over time as they reduce the portfolio's overall exposure to specific market conditions.
Investors seeking short-term gains may not benefit as much due to the time required for the strategies employed to materialize their intended results. Long-term objectives align better with the nature of liquid alternatives and their ability to smooth returns.
References:
* CSC Volume 2, Chapter 20: "Alternative Investments: Strategies and Performance," discusses the structure and time horizon considerations for liquid alternatives.

NEW QUESTION # 73
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