Free Canadian Investment Regulatory Exam Practice Questions

A.  

The manager should abstain from voting, as the personal relationship with the nominee creates a potential conflict of interest

B.  

The manager should vote in favour of the nomination, but only if they disclose the personal relationship to clients before casting the vote

C.  

The manager should vote against the nomination, as it could create a potential conflict of interest even though she is qualified

D.  

Vote as requested by the sister-in-law, as the firm does not typically participate in governance votes, so this situation is unlikely to matter

A.  

In putting the client first, the IR should state the service is not available

B.  

In the spirit of openness and fairness, ask a colleague better placed to explain

C.  

So as not to diminish investor confidence, explain the service in positive terms

D.  

In order not to be negligent, explain the service to the best of their ability

A.  

It displays a small portion while hiding the rest

B.  

It hides the order from the trading market participants

C.  

It displays full size of the order to improve execution

D.  

It executes within private dark pool trading venues