EXAMINATIONS CSC1 ACTUAL QUESTIONS & VALID CSC1 TEST TOPICS

Examinations CSC1 Actual Questions & Valid CSC1 Test Topics

Examinations CSC1 Actual Questions & Valid CSC1 Test Topics

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Tags: Examinations CSC1 Actual Questions, Valid CSC1 Test Topics, CSC1 Latest Braindumps Files, Questions CSC1 Exam, Free CSC1 Sample

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CSI Canadian Securities Course Exam 1 Sample Questions (Q30-Q35):

NEW QUESTION # 30
Which regulatory body is responsible for thesurveillanceof trading and market-related activities of participants on Canadian equity marketplaces?

  • A. CSA
  • B. OSFI
  • C. CIRO
  • D. OBSI

Answer: C

Explanation:
TheCanadian Investment Regulatory Organization (CIRO)is responsible for overseeing trading and market-related activities of participants on Canadian equity marketplaces. CIRO conducts surveillance to ensure compliance with rules, regulations, and fair market practices.
Other options:
* OBSI (Ombudsman for Banking Services and Investments): Handles disputes between financial institutions and their clients but does not conduct trading surveillance.
* OSFI (Office of the Superintendent of Financial Institutions): Regulates and supervises federally regulated financial institutions, focusing on their solvency.
* CSA (Canadian Securities Administrators): Coordinates securities regulation across copyright but does not directly monitor trading activities.
References:
* Volume 1, Chapter 3:The Canadian Regulatory Environment, section on "Market Surveillance and Trading Oversight" explains CIRO's role.


NEW QUESTION # 31
What is unique to responsible investment?

  • A. ESG factors are standardized across the investment no industry.
  • B. A combination of a values and valuation-based approach to investing
  • C. It is unavailable with certain asset classes like segregated fundi
  • D. It bases investment decisions exclusively on environmental factors.

Answer: C

Explanation:
Responsible investing (RI) incorporatesenvironmental, social, and governance (ESG) factorsinto investment decisions.
This approach combinesvalues-basedinvesting (aligning investments with personal or institutional ethics) andvaluation-basedinvesting (analyzing ESG factors to assess potential risks and returns).
Why Other Options are Incorrect:A. It is unavailable with certain asset classes like segregated funds: RI is increasingly available across various asset classes, including segregated funds.
B). ESG factors are standardized across the investment industry: ESG standards vary and are not uniformly applied.
C). It bases investment decisions exclusively on environmental factors: RI considers environmental, social, and governance factors, not just environmental concerns.


NEW QUESTION # 32
Under which circumstance is an option considered to be in-the-money?

  • A. When a put option with the price of the underlying asset is higher than the strike price.
  • B. When a put option with the price of the underlying asset is higher than the strike price.
  • C. When a call option with the price of the underlying asset is lower than the strike price.
  • D. When a put option with the price of the underlying asset is higher than the strike price.

Answer: B

Explanation:
An option is "in-the-money" when it has intrinsic value:
* For aput option, it is in-the-money when the underlying asset's price isbelowthe strike price, allowing the holder to sell the asset at a higher price (strike price).
Incorrect options clarify the following:
* A call option is in-the-money when the underlying asset's price isabovethe strike price.


NEW QUESTION # 33
An emerging Canadian company is exploring the possibility of using hotwater springs to produce clear energy forremote rural communities.The company has strong human resource capital and few assets, and raised SI
20,000 through the Capital Pool Company program. Which option is best for this company to continue maximizing public exposure and raising capital?

  • A. offering a greenshee option
  • B. Escrowing shares
  • C. Crowfunding
  • D. Filling disclosure documents with SEDAR+.

Answer: C

Explanation:
For an emerging company with limited assets and innovative goals,crowdfundingis an excellent option to maximize public exposure and raise capital. Crowdfunding involves soliciting small investments from a large number of people, typically through online platforms, making it ideal for startups or innovative ventures like the use of hot water springs for clean energy.
Other options:
* Escrowing shares: Typically used to restrict the sale of shares for a certain period, not for raising capital.
* Offering a greenshoe option: Applies to stabilizing stock prices in an IPO or follow-on offering, not raising initial capital.
* Filing disclosure documents with SEDAR+: Necessary for public companies but does not directly raise capital or increase exposure.
References:
* Volume 1, Chapter 12:Financing and Listing Securities, section on "Capital Raising Options" covers crowdfunding as a method for startups to raise funds.


NEW QUESTION # 34
What is unique to a shortmargin position?

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

Answer: D

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 # 35
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