Canadian Securities Institute Investment Funds in Canada IFC Dumps in PDF

Free Canadian Securities Institute IFC Real Questions (page: 8)

Which type of fund is least likely to produce capital gains income?

  1. Mortgage fund
  2. Short-term bond fund
  3. Money market fund
  4. Preferred dividend fund

Answer(s): C

Explanation:

Money market funds invest in short-term securities that generate interest income, and their unit value remains constant (typically $10), preventing capital gains. The feedback from the document states:

"All returns earned on money market funds are considered interest earnings and are taxed as interest income. Since money market funds invest only in money market securities that pay interest, no other type of income can be earned. Because the value of the units of a money market fund is constant ($10), no capital gains can be made on the sale of units of the fund."


Reference:

Chapter 11 ­ Conservative Mutual Fund ProductsLearning Domain: Analysis of Mutual Funds



What type of risk is the fundamental risk factor for fixed-income securities?

  1. Liquidity risk
  2. Reinvestment risk
  3. Market risk
  4. Interest rate risk

Answer(s): D

Explanation:

Interest rate risk is the primary risk for fixed-income securities, as their value decreases when interest rates rise due to fixed cash flows. The feedback from the document states:

"Interest rate risk is the fundamental risk factor for fixed-income securities such as bonds, mortgages and preferred shares. As interest rates move up, the value of a fixed-income security falls. This is because the cash flow from the fixed-income security is fixed."


Reference:

Chapter 11 ­ Conservative Mutual Fund ProductsLearning Domain: Analysis of Mutual Funds



Which statement is most accurate about fund wraps?

  1. There is essentially no regulatory difference between a fund wrap and a standard mutual fund
  2. Each model is designed to meet the needs of the individual
  3. The investor pays fees to both the wrap manager and the manager of the underlying funds
  4. The fund wrap sponsor is responsible for asset allocation decisions

Answer(s): D

Explanation:

Fund wraps are managed portfolios with pre-selected asset allocation models, where the wrap sponsor is responsible for allocation decisions. The feedback from the document states:

"A fund wrap program provides a series of portfolios with multiple mutual funds to reflect pre- selected asset allocation models. Each model is designed to meet the needs of a group of investors sharing a similar client profile. Responsibility for the asset allocation decision falls to the wrap sponsor."


Reference:

Chapter 12 ­ Riskier Mutual Fund ProductsLearning Domain: Analysis of Mutual Funds



Your client, Mrs. DaSousa, would like to diversify her portfolio by investing in a global equity fund.
What should you advise her about the foreign currency risk?

  1. The fund manager can hedge the exchange risk by buying foreign currency through futures contracts
  2. The value of the fund will go up if the Canadian dollar increases in value against the foreign currency
  3. The foreign exchange risk will be offset by the lower liquidity risk
  4. The fund may provide a hedge against the Canadian dollar

Answer(s): D

Explanation:

Global equity funds can act as a hedge against a decline in the Canadian dollar's value, increasing the investment's value in Canadian dollars if the foreign currency strengthens. The feedback from the document states:

"Global mutual funds are attractive because they can provide a hedge against a decline in the relative value of the Canadian dollar. For example: if investors buy a Japanese fund, and then the value of the Canadian dollar falls relative to the yen, the Canadian dollar value of that investment will increase even if the value of the fund's units in yen has remained unchanged."


Reference:

Chapter 12 ­ Riskier Mutual Fund ProductsLearning Domain: Analysis of Mutual Funds



Which type of fixed income fund has a short duration, with the objectives of preserving capital and generating better current income than a money market fund?

  1. Preferred dividend fund
  2. Mortgage fund
  3. Short-term bond fund
  4. T-bill fund

Answer(s): C

Explanation:

A short-term bond fund combines characteristics of money market and bond funds, aiming to preserve capital while generating higher income than a money market fund due to its short duration.
The feedback from the document states:

"A short-term bond fund is part money market fund and part bond fund. You would expect its investment objectives to reflect this combination. A short-term bond fund's objectives are to preserve capital and generate better current income than is likely from a money market fund. Although there is some capital gain potential, you would not expect this to be a key objective given the short duration of this type of fixed-income fund."


Reference:

Chapter 11 ­ Conservative Mutual Fund ProductsLearning Domain: Analysis of Mutual Funds



What best describes why mortgage funds generally have less sensitivity to changes in interest rates than bond funds?

  1. Many mortgage funds also hold T-bills and mortgage-backed securities, which are less volatile
  2. Interest on mortgages is usually paid monthly, while interest on bonds is typically paid semi- annually
  3. Mortgage funds are highly diversified, often holding over 10,000 individual mortgages
  4. Most mortgages held in mortgage funds are either NHA-insured or privately insured

Answer(s): B

Explanation:

Mortgage funds have lower interest rate sensitivity than bond funds because mortgage rates change less frequently, and interest is paid monthly rather than semi-annually, reducing the impact of rate changes. The feedback from the document states:

"Interest rate sensitivity is expected to be lower for mortgage funds than for bond funds for two reasons. First, mortgage rates change much less frequently than interest rates on bonds... Second, mortgages by nature have less interest rate risk than bonds. The reason, in part, is that interest on mortgages is paid monthly, while interest on bonds is paid semi-annually."


Reference:

Chapter 11 ­ Conservative Mutual Fund ProductsLearning Domain: Analysis of Mutual Funds



Recently interest rates have gone up. Your customer, Mr. Corelli, has asked you how this will affect the value of his mortgage fund.
What is the best response to give to Mr. Corelli?

  1. The mortgage fund will not be affected because the rise in interest rates will affect only new mortgages
  2. The value of the mortgage fund will go down because new mortgages will pay higher interest than those in the fund
  3. The mortgage fund will not be affected because mortgages do not react to changes in interest rates the way bonds do
  4. The value of the mortgage fund should go up because mortgages will now be earning higher interest

Answer(s): B

Explanation:

Fixed-income securities, including mortgage funds, decrease in value when interest rates rise because existing mortgages with lower rates become less attractive compared to new, higher- yielding mortgages. The feedback from the document states:

"Fixed-income securities move in the opposite direction to market interest rates... Let's assume you are the fund manager for a mortgage mutual fund, which has mortgages paying 5%. If mortgage rates suddenly increase to 6%, only the interest rates on newly negotiated mortgages would increase... The investor would not pay you par for a 5% rate. If you wished to sell the mortgages, then you would have to lower your price until the price paid--given the 5% fixed payments to be made-- results in a return to the buyer of 6%, the `going rate' on mortgages. In other words, the market value of your par value mortgages must fall."


Reference:

Chapter 11 ­ Conservative Mutual Fund ProductsLearning Domain: Analysis of Mutual Funds



You are the portfolio manager for the ABC asset allocation fund. Interest rates are going up; the stock market has been very volatile recently and is forecast to continue that way for the next two quarters.
What changes, if any, will you make to your current asset allocation of 50% bonds and 50% equities?

  1. None - the fund is balanced
  2. Increase the allocation to bonds because interest rates are rising
  3. Increase the allocation to equities to take advantage of the volatility
  4. Temporarily move a significant amount into money market securities

Answer(s): D

Explanation:

In volatile market conditions with rising interest rates, asset allocation fund managers may shift to money market securities to reduce risk. The feedback from the document states:

"Asset allocation funds ideally provide a `balanced' mix of safety, income and capital appreciation...
When both bond and stock markets are volatile, they will hold large amounts of money market securities. In other words, asset allocation mutual fund managers attempt to time the market to get the best returns depending on market conditions."


Reference:

Chapter 12 ­ Riskier Mutual Fund ProductsLearning Domain: Analysis of Mutual Funds



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