IACCP Examination Questions with Verified Answers IACCP Exam 2023 Questions and Answers IACCP Master QBank with complete solutions IACCP Exam 2023 Questions with correct Answers IACCP Exam Questions with Verified Answers (Graded A) IACCP (MASTER TERMS) QUESTIONS AND ANSWERS 2023 IACCP 2 Exam Questi...
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"Investment Adviser" person/firm compensated for engaging in business of (directly or indirectly) advising others on securities or the advisability of investing (or) who issues analysis/reports concerning securities - Answer- SEC vs Capital Gains Research Bureau basis of Fiduciary Rule, specifical...
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Add to cart"Investment Adviser" person/firm compensated for engaging in business of (directly or indirectly) advising others on securities or the advisability of investing (or) who issues analysis/reports concerning securities - Answer- SEC vs Capital Gains Research Bureau basis of Fiduciary Rule, specifical...
Which THREE persons or firms may be excluded from having to register under the Investment Advisers Act of 1940? (Choose three.) A. Accountants whose advisory services pertain solely to incidental financial planning. B. Persons or firms whose advice and reports are related solely to U.S. governme...
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Add to cartWhich THREE persons or firms may be excluded from having to register under the Investment Advisers Act of 1940? (Choose three.) A. Accountants whose advisory services pertain solely to incidental financial planning. B. Persons or firms whose advice and reports are related solely to U.S. governme...
The SMC Capital, Inc. No-Action Letter (September 5, 1995) states that trade allocations may occur: A. Only on a rotational basis B. On a pro rata basis but other allocation methods can be used without violating the Advisers Act C. Only on a pro rata basis D. Based on the trader's good fait...
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Add to cartThe SMC Capital, Inc. No-Action Letter (September 5, 1995) states that trade allocations may occur: A. Only on a rotational basis B. On a pro rata basis but other allocation methods can be used without violating the Advisers Act C. Only on a pro rata basis D. Based on the trader's good fait...
4 elements of "investment advice" - Answer- 1. Advice about market trends 2. Advice in historical or data form 3. Advice about selecting an adviser 4. Advice about the pros and cons of securities vs. other investments What is the RAUM threshold for Registered Advisers? - Answer- $150 million...
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Add to cart4 elements of "investment advice" - Answer- 1. Advice about market trends 2. Advice in historical or data form 3. Advice about selecting an adviser 4. Advice about the pros and cons of securities vs. other investments What is the RAUM threshold for Registered Advisers? - Answer- $150 million...
money laundering definition - Answer- criminal activity that occurs when money from illegal activity is moved through the financial system to make to appear legit OFAC - Answer- OFAC oversees the enforcement of federally mandated economic sanctions against certain foreign governments, financial i...
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Add to cartmoney laundering definition - Answer- criminal activity that occurs when money from illegal activity is moved through the financial system to make to appear legit OFAC - Answer- OFAC oversees the enforcement of federally mandated economic sanctions against certain foreign governments, financial i...
Assignment - Answer- Any direct or indirect transfer or hypothecation of an investment advisory contract by the assignor Who is not an Investment Advisor? - Answer- A Bank, Lawyer, accountant, engineer, teach whose performance of such services is solely incidental to the practice of his professio...
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Add to cartAssignment - Answer- Any direct or indirect transfer or hypothecation of an investment advisory contract by the assignor Who is not an Investment Advisor? - Answer- A Bank, Lawyer, accountant, engineer, teach whose performance of such services is solely incidental to the practice of his professio...
Investment Adviser - Answer- Person or entity that is in the business of providing investment advice about securities Fiduciary - Answer- an investment adviser owes its clients undivided loyalty and may not engage in activity that conflicts with a client's interest without the client's consent ...
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Add to cartInvestment Adviser - Answer- Person or entity that is in the business of providing investment advice about securities Fiduciary - Answer- an investment adviser owes its clients undivided loyalty and may not engage in activity that conflicts with a client's interest without the client's consent ...
non-securities advice includes advice on topics that include ___ and budgetary planning, ____ ____and business planning. - Answer- tax, estate planning Dodd-Frank change in AUM threshold says that ___ million is needed in order to register with the SEC - Answer- 100 Full payment for Renewal St...
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Add to cartnon-securities advice includes advice on topics that include ___ and budgetary planning, ____ ____and business planning. - Answer- tax, estate planning Dodd-Frank change in AUM threshold says that ___ million is needed in order to register with the SEC - Answer- 100 Full payment for Renewal St...
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