HOTTEST CSI CSC1 CERTIFICATION - PDF CSC1 DUMPS

Hottest CSI CSC1 Certification - Pdf CSC1 Dumps

Hottest CSI CSC1 Certification - Pdf CSC1 Dumps

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Tags: Hottest CSC1 Certification, Pdf CSC1 Dumps, Training CSC1 Tools, Valid CSC1 Exam Guide, CSC1 Reliable Exam Braindumps

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CSI Canadian Securities Course Exam 1 Sample Questions (Q94-Q99):

NEW QUESTION # 94
What is unique to a shortmargin position?

  • A. Margin is discretional for securities with certain price ranges.
  • B. Short seller can suffer unlimited loss if the price of the security rises rather than fails.
  • C. There is a timelimit that a short position may be maintained.
  • D. Margin is established when the dealer memberloansmoney to the client.

Answer: B

Explanation:
A unique risk associated with short selling is the potential for unlimited loss. When a short seller borrows and sells a security in anticipation of its price falling, they must later buy it back to return it to the lender. If the security's price rises instead of falling, there is no theoretical limit to how high the price can go, leading to unlimited losses for the short seller.
This differs from long positions, where the maximum loss is limited to the initial investment amount.
Study Document References:
* Volume 1, Chapter 9:Short Margin Accounts, including the mechanics and risks of short selling.


NEW QUESTION # 95
An investor wants to gain exposure to the Canadian stock market with minimal risk exposure. What is the test financial instrument for this investor?

  • A. Index exchange-trace fund.
  • B. Canadian bank preferred shares.
  • C. Index-linked guaranteed investment certificate.
  • D. Call option.

Answer: C

Explanation:
The investor's goal is to gainexposure to the Canadian stock marketwhile maintainingminimal risk exposure. Among the provided options, anindex-linked guaranteed investment certificate (GIC)is the most suitable choice.
Key Characteristics of an Index-Linked GIC:
* Capital Protection:
* Index-linked GICs guarantee the principal investment amount, offering the security of a GIC while tying returns to the performance of a stock index (e.g., the S&P/TSX Composite Index).
* This ensures no loss of capital regardless of market performance.
* Market Exposure:
* The return on an index-linked GIC is linked to the performance of the underlying index, providing exposure to the stock market. However, this comes without the downside risk associated with direct stock or fund investments.
* Low Risk:
* The combination of principal protection and market exposure makes it ideal for risk-averse investors seeking growth potential.
Review of Other Options:
* A. Canadian Bank Preferred Shares:
* While preferred shares provide stable dividends and relatively low volatility compared to common shares, they still carry market risk and are not as secure as GICs.
* B. Index Exchange-Traded Fund (ETF):
* ETFs track stock indices and offer diversification, but they expose investors to the full market risk of the underlying index, making them unsuitable for those seeking minimal risk exposure.
* C. Call Option:
* Call options are speculative derivatives that provide leverage for market exposure but carry significant risk of loss, making them inappropriate for a low-risk investor.
Why D is Correct:
Anindex-linked GICbalances the investor's objective of gaining exposure to the Canadian stock market with the need for minimal risk by guaranteeing principal protection while offering potential returns tied to market performance.
References:
* Canadian Securities Course (CSC), Volume 1, Chapter 6: Fixed-Income Securities - Features and Types. Discussion on index-linked GICs and their suitability for risk-averse investors.
* Explanation of risk characteristics of preferred shares, ETFs, and derivatives in Chapter 8 and 10 of Volume 1.


NEW QUESTION # 96
What is the mostcost-effectivechannel an investor can use to Invest in derivativeproducts?

  • A. A full-service broker
  • B. An investment boutique
  • C. An integrated firm
  • D. A self-director broker

Answer: D

Explanation:
Self-directed brokers are the most cost-effective option for investing in derivatives. They provide a platform for investors to execute trades independently without the additional costs associated with advisory services offered by full-service brokers. Investors are charged lower transaction fees, making this option ideal for cost- conscious individuals who are comfortable making their own investment decisions.
* B. A full-service broker: Full-service brokers charge higher fees because they provide additional advisory and management services.
* C. An integrated firm: Integrated firms offer both retail and institutional services, which generally come with higher fees compared to self-directed platforms.
* D. An investment boutique: Boutique firms typically specialize in niche markets and may have higher service costs, which are not ideal for cost-effective derivatives trading.


NEW QUESTION # 97
When acting as a principal, how do investment dealers generate revenue?

  • A. Thrown tracers.
  • B. Through commissions
  • C. Through spreads on buy/sell prices.
  • D. Through brokerage changes.

Answer: C

Explanation:
When acting as aprincipal, investment dealers buy and sell securities for their own account. They generate revenue by earning aspread, which is the difference between the price at which they buy securities (bid price) and the price at which they sell them (ask price). This is distinct from their role as an agent, where revenue is earned through commissions on trades executed on behalf of clients.
* A. Through commissions: Commissions are earned when acting as an agent, not as a principal.
* B. Through tracers: This term does not apply to revenue generation.
* C. Through brokerage charges: Brokerage charges relate to fees imposed on client accounts, not principal trading spreads.


NEW QUESTION # 98
Which preferredshare pays a fixed dividend rate based on the yield to maturity on the five-year benchmark Government at copyright bond?

  • A. Rate-reset preferred share.
  • B. Floating-rate preferred share.
  • C. Fixed-rate perpetual preferred share.
  • D. Flexed/floating preferred share.

Answer: A

Explanation:
A rate-reset preferred share pays a fixed dividend rate that is periodically reset based on a predetermined benchmark, such as the yield to maturity on the five-year Government of copyright bond, plus a fixed spread.
This type of share offers a balance between fixed-income predictability and adjustments for changing interest rates.
References:
* Volume 1, Chapter 8:Preferred Sharesunder "Types of Preferred Shares" explains rate-reset preferred shares and their connection to benchmark yields like the five-year Government of copyright bond (CSC Volume 1, Chapter 8).


NEW QUESTION # 99
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