Question
Just give me correct answers no need to explain them please do it professionally The provincial securities commission is responsible for all of the following
Just give me correct answers no need to explain them please do it professionally
The provincial securities commission is responsible for all of the following except: a. Registration b. Disclosure c. Solvency d. Investigation & prosecution
Offices with more than .. licensed MFRs must have a BCO. a. 7
b. 5
.2
d. 4
In regard to unsolicited orders, all of the following are true, except: a. Suitability standards must still be met b. They can be refused c. The BCO must be consulted d. Records must document the order
Joe and John are the owners of J&J Roofing Inc, a large local business. They come to your office and would like to open an investment account for J&J Roofing. In providing their Articles of Incorporation, you discover that Susan, their office assistant, is the sole authorized representative on any and all investments accounts owned by the corporation. When completing the KYC information upon account opening, whose risk tolerance time horizon should you be using? a. Joe & John & Susan's, taking the most conservative b.J&J Roofing Inc.'s only c. Susan's only d. Joe & John's, taking the most conversative
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