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IFSE Institute CIFC 問題集

CIFC

試験コード:CIFC

試験名称:Canadian Investment Funds Course Exam

最近更新時間:2025-03-29

問題と解答:全225問

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質問 1:
Which of the following statements about capital gains distributions from mutual fund trusts is correct?
A. Capital gains from mutual fund trusts are deferred until the investor exits the mutual fund.
B. Capital gains distributions are not a disposition and are therefore not taxable.
C. Capital gains from mutual fund distributions are 100% taxable.
D. Capital gains distributions from a mutual fund trust are reported annually on a T3.
正解:D
解説: (Topexam メンバーにのみ表示されます)

質問 2:
Which investor's needs would be BEST met with an income trust?
A. Phil wants to invest in a product where the performance is linked to that of an underlying asset and the issuer is obligated to repay his principal at maturity.
B. Tina wants a product that guarantees the return of at least 75% of her capital upon maturity of the contract or upon her death.
C. Leanne wants a product that employs alternative strategies such as leverage and short selling to amplify returns.
D. Gary wants to invest in a product which provides a consistent cash flow of interest, royalties, and lease payments passed along to unitholders.
正解:D
解説: (Topexam メンバーにのみ表示されます)

質問 3:
Megan purchases a treasury bill for $98,200. When it matures for $100,000, how does Megan treat the $1,800 difference?
A. as return of capital
B. as a capital gain
C. as a dividend
D. as interest income
正解:D
解説: (Topexam メンバーにのみ表示されます)

質問 4:
Which of the following Dealing Representatives has fulfilled their "Know Your Product" obligation?
A. Tevy recommends the firm's in-house Principal Protected Note (PPN) to her client Mei. Since Mei is seeking safety and liquidity, Tevy determines that the PPN is a good product for her because it's on the firm's list and the principal is guaranteed.
B. Otev meets with his client, Saeed. Saeed's brother invested in the Navigator Eastern Asia Fund and it provided great returns. When Saeed asks Otev if the Navigator Fund or something similar is available through his firm, Otev doesn't know and doesn't look it up.
C. Rehan reviews the features of the Hedge Fund that her client, Georgi, wants to buy. When Rehan explains the product to Georgi, she tells him that the Hedge Fund has a lock-up period and he will not be able to redeem the fund if he needs the money.
D. Godfried opens an account for his new client, Nadia. When the investments from her previous dealer are transferred in, Godfried sells the investments. Nadia becomes very upset when she is charged $4,329 in redemption fees that neither she nor Godfried expected.
正解:C
解説: (Topexam メンバーにのみ表示されます)

質問 5:
You have been researching Canadian equity mutual funds for a new client. You come across the following information.

What can you conclude from this information?
A. Chamberlain Equity Fund has lower volatility since its 5-year annualized return is higher.
B. Fontaine Equity Fund is a better fund because it has a higher quartile ranking.
C. Fontaine Equity Fund has a lower risk level since its Sharpe Ratio is lower.
D. Fontaine Equity Fund's higher MER contributes to its lower 5-year annualized return.
正解:D
解説: (Topexam メンバーにのみ表示されます)

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IFSE Institute Canadian Investment Funds Course 認定 CIFC 試験問題:

1. Throughout the year, the Redwood Global Equity Fund generated the following outcomes:
. $1.00 per unit of interest income from Canadian treasury bills
. $2.50 per unit of dividend income from foreign corporations
. $7.75 per unit of capital gains from the sale of Canadian corporations
. $6.50 per unit of capital gains from the sale of foreign corporations
. $2.00 per unit of capital losses from the sale of foreign corporations Given that the Redwood Global Equity Fund is structured as a mutual fund trust, which of the following statements is true?

A) Redwood can flow the foreign dividends to unitholders, who can then take advantage of the dividend gross-up and tax credit mechanism.
B) Unitholders will receive $12.25 per unit of net capital gains from Redwood, of which only 50% is subject to tax.
C) Since Redwood pays the tax on foreign income, it does not distribute dividend or capital gains income from foreign sources to unitholders.
D) Redwood can distribute the $2.00 per unit of capital losses to unitholders, who can then use them to offset their capital gains.


2. Terri, 30 years old, is the marketing manager at Provincial Winery with an average annual income of $60,000.
Her spouse Yvette, 28 years old, is a project manager with a telecommunications firm earning
$70,000 per year. You are helping them to organize their investments and are trying to assess their financial resources.
Which of the following is the best question to ask?

A) Do you have pension plans at work?
B) What is your investment experience?
C) When do you need the money?
D) Do you have any children?


3. In a mutual fund dealer, who is the person responsible for establishing and maintaining compliance policies and procedures as well as monitoring and assessing compliance?

A) the trustee
B) the ultimate designated person
C) the chief executive officer
D) the chief compliance officer


4. Maalik opens an account for a new client, John. During the new account process, Maalik determines that he will need to confirm John's identity. Which of the following statements about Maalik's identification requirements is CORRECT?

A) If John attempts to make a suspicious deposit, Maalik is required to report the attempt to his dealer. The dealer must keep records of attempted suspicious transactions that are not reported to the Financial Transactions and Reports Analysis Centre of Canada (FINTRAC).
B) If Maalik learns that John is the president of a state-owned company, Maalik is required to report John as a Politically Exposed Foreign Person (PEFP) to his dealer. If John is not a US person, the dealer must report the account to the Internal Revenue Service (IRS).
C) If Maalik determines that there is anything suspicious about John's transaction, he is required to report the matter to his dealer. The dealer must report the matter to the Financial Transactions and Reports Analysis Centre of Canada (FINTRAC).
D) If John wants to make a large cash deposit of $10,000 or more, Maalik is required to collect personal information about John and report it to his dealer. The dealer must report the information to the Canada Revenue Agency (CRA).


5. Felipe is a Dealing Representative who is developing a non-registered investment solution for Laryssa. Felipe is debating between recommending either mutual fund trusts or mutual fund corporations. He wants to recommend an investment that reduces Laryssa's exposure to taxation.
Which feature may influence his recommendation?

A) Mutual fund trusts can only distribute capital gains and Canadian dividends.
B) Capital losses may be distributed from mutual fund corporations.
C) Distributions from mutual fund corporations are not taxable to investors.
D) Any income received by a mutual fund corporation is distributed in the form of either capital gains or Canadian dividends.


質問と回答:

質問 # 1
正解: B
質問 # 2
正解: A
質問 # 3
正解: D
質問 # 4
正解: C
質問 # 5
正解: D

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