CAIA Level 1 Section 1 questions with correct answers
Regulatory Structures - Answer include government regulation and taxation. Securities structures - Answer include methods of cash flow securitization and the resulting trade-able units. Trading Structures - Answer Include the development and execution of trading strategies utilized by investment managers and the resulting performance impact of strategies. Compensation Structures - Answer include arrangements that impact a manager's fees, exposure to the investment's performance, and conflicts of interest with investors Institutional structure - Answer include financial institutions and markets that affect the ownership and trading of a particular investment Plan sponsors - Answer are organizations that fund a health care or retirement plan for qualified members. The ___ _____ manages the plan assets to meet its obligations and determines the membership requirements and plan structure. Foundations - Answer are nonprofit funds established to support specific charitable activities on a continuing basis while maintaining the real value of the portfolio assets. Endowments - Answer are funds dedicated to providing financial support on an ongoing basis for a specific purpose. _______ and ________ typically have long investment horizons, high risk tolerance, and low liquidity
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