BRAIN CSC1 EXAM | CSC1 CERTIFICATION

Brain CSC1 Exam | CSC1 Certification

Brain CSC1 Exam | CSC1 Certification

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CSI Canadian Securities Course Exam 1 Sample Questions (Q66-Q71):

NEW QUESTION # 66
Which condition must exist for a company to issue a short Form prospectus?

  • A. it is exclusively a reporting issuer in foreign Jurisdictions.
  • B. it already has securities listed and posted for tracing or quoted on an eligible exchange
  • C. The offering is for the purpose of financing a material change in the issuer's business
  • D. Its principal asset is cash or cash equivalents, or exchange listing

Answer: B

Explanation:
Ashort form prospectusis a streamlined disclosure document that companies can use to raise funds more efficiently under specific conditions. The issuer must meet specific eligibility criteria outlined in Canadian securities regulations to qualify for filing a short form prospectus.
Key Conditions for Filing a Short Form Prospectus:
* Listed Securities Requirement: The company must have its securities listed and actively traded on an eligible stock exchange (e.g., TSX or another recognized exchange). This requirement ensures that the company already complies with reporting obligations and has a history of providing transparent information to investors.
* Continuous Disclosure History: The company must be a reporting issuer in one or more Canadian jurisdictions for at least 12 months, providing continuous disclosure (e.g., financial statements, material changes).
* No Principal Asset Restriction: The company must not primarily rely on cash or cash equivalents as its principal asset, as this does not provide a sufficient operational track record.
* Domestic Reporting Requirement: The company must not rely solely on foreign jurisdiction reporting; it must fulfill Canadian reporting requirements.
Review of Options:
* Option A:Incorrect. While the prospectus may be used for financing purposes, it is not a condition specific to the short form prospectus.
* Option B:Correct. A company must have securities listed and actively traded on an eligible exchange to use the short form prospectus.
* Option C:Incorrect. Companies whose principal assets are cash or cash equivalents are typically not eligible for a short form prospectus.
* Option D:Incorrect. The company must not exclusively be a reporting issuer in foreign jurisdictions; it must comply with Canadian reporting requirements.
References:
* Canadian Securities Course (CSC), Volume 1, Chapter 12: Financing and Listing Securities.
Discussion on eligibility for short form prospectus filings and reporting issuer status.
* National Instrument 44-101: Short Form Prospectus Distributions.


NEW QUESTION # 67
What financial instrument is derived from thevalue of an underlying asset?

  • A. Inflation linked bond
  • B. Preferred share.
  • C. Forward contract
  • D. Real estate investment trust

Answer: C

Explanation:
Aforward contractis a derivative instrument whose value is derived from the value of an underlying asset, such as commodities, currencies, or financial instruments. It is a customized agreement between two parties to buy or sell an asset at a future date at a specified price.
* A. Real estate investment trust: A REIT is an equity instrument tied to real estate assets, not a derivative.
* C. Preferred share: A preferred share is an equity security with fixed dividends, not a derivative.
* D. Inflation-linked bond: These are fixed-income securities linked to inflation rates but are not considered derivatives.


NEW QUESTION # 68
What is an example of a common feature of robo-advisor services?

  • A. A telephone call with an advisor verifies that the computer-generatedportfolio is suitable for the client.
  • B. The portfoliosare rarely rebalanced
  • C. The service is exclusively provided to intermediaries such as advisors and employers
  • D. Portfolios are built primarily with individual stocks andbonds.

Answer: A

Explanation:
Manyrobo-advisorsoffer a hybrid model where an automated portfolio recommendation is supplemented by human oversight. A telephone call with an advisor ensures the portfolio generated by the algorithm aligns with the client's risk tolerance and investment objectives. This step helps meet regulatory suitability requirements.
* A. The service is exclusively provided to intermediaries such as advisors and employers: Robo-advisors are directly available to retail clients and are not exclusive to intermediaries.
* B. The portfolios are rarely rebalanced: Robo-advisors typically offer frequent or automatic rebalancing to maintain target asset allocations.
* C. Portfolios are built primarily with individual stocks and bonds: Robo-advisors predominantly use ETFs for diversification and cost-efficiency, not individual securities.


NEW QUESTION # 69
Which type of bond offers the investor a choice of interest payments in either of two currencies?

  • A. Foreign pay bonds
  • B. Eurobonds
  • C. Subordinated debentures
  • D. Floating-rate securities

Answer: A

Explanation:
A foreign pay bond is a type of bond that allows the investor to choose the currency in which to receive interest payments, usually between the currency of the issuer's country and a foreign currency. This feature provides flexibility for investors who may want to manage currency risk or take advantage of fluctuations in exchange rates.
Review of Other Options:
A . Eurobonds:
Eurobonds are international bonds issued in a currency other than the currency of the country where they are issued. However, they do not provide the investor with a choice of interest payments in different currencies.
C . Subordinated Debentures:
These are unsecured bonds that rank below other debts in terms of repayment priority in case of liquidation.
They do not involve currency options for interest payments.
D . Floating-Rate Securities:
These bonds have variable interest rates that adjust periodically based on a benchmark interest rate, such as LIBOR or prime rate, but they do not allow investors to choose the currency of interest payments.
Why B is Correct:
Foreign pay bonds are explicitly designed to offer investors a choice of interest payments in two currencies, making them unique among fixed-income securities. This feature provides added flexibility for investors dealing with foreign exchange considerations.
References:
Canadian Securities Course (CSC), Volume 1, Chapter 6: Fixed-Income Securities - Features and Types.
Detailed explanation of foreign pay bonds and their distinguishing features.
Discussion of bond types and their characteristics, including Eurobonds and floating-rate securities, in Chapter 6.


NEW QUESTION # 70
What is the difference between sinking funds and purchase funds concerning the redemption of bonds poor to maturity?

  • A. Sinking funds can redeem fie bones any time while purchase funds follow a prearranged schedule.
  • B. Sinking funds can redeem bonds only if they trade below a stipulated price while purchase runes do not have such a requirement.
  • C. Sinking funds have mandated redemptions while purchase funds can redeem only upon certain market conditions.
  • D. Sinking funds involve the issuer determining when bonds are redeemed while purchase funds Involve the investor determining when the bonds are redeemed.

Answer: C

Explanation:
* Sinking fundsrequire the issuer to redeem a specified portion of the bond issue at regular intervals. This ensures systematic debt reduction and is mandated regardless of market conditions.
* Purchase funds, however, allow the issuer to buy back bonds only if they are available in the market at or below a stipulated price, making redemption conditional on market conditions.
* B. Sinking funds can redeem bonds only if they trade below a stipulated price: This applies to purchase funds, not sinking funds.
* C. Sinking funds involve the issuer determining when bonds are redeemed while purchase funds involve the investor determining when the bonds are redeemed: Investors have no role in determining bond redemption under either method.
* D. Sinking funds can redeem the bonds any time while purchase funds follow a prearranged schedule:
Sinking funds follow a schedule, and purchase funds rely on market conditions.


NEW QUESTION # 71
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