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Financial CFSA Exam (page: 12)
Financial Certified Services Auditor (CFSA)
Updated on: 25-Dec-2025

Viewing Page 12 of 65
CFSA PDF 511 Questions

Details: DOMAIN II-AUDITING FINANCIAL SERVICES PRODUCTS

Trust departments provide services to publicly held companies related to issuing and maintaining:

  1. Stock transactions
  2. Stock balances
  3. Stock threshold
  4. None off these

Answer(s): A




Details: DOMAIN II-AUDITING FINANCIAL SERVICES PRODUCTS

Funds held in trust cannot be reinvented in:

  1. Term deposits
  2. Savings accounts
  3. Financial institution's own securities
  4. Floor-plan financing

Answer(s): C




Details: DOMAIN II-AUDITING FINANCIAL SERVICES PRODUCTS

Banks provide the following personal trust service/services for the individuals:

  1. Estate settlement
  2. Co-fiduciary
  3. Agent
  4. All of these

Answer(s): D




Details: DOMAIN II-AUDITING FINANCIAL SERVICES PRODUCTS

Some wills specify that more than one responsible party share the trustee's responsibilities of an estate .The condition depicts relation with which one of the following trust services:

  1. Guardians of estates
  2. Co-fiduciary
  3. Estate settlement
  4. Trusts

Answer(s): B




Details: DOMAIN II-AUDITING FINANCIAL SERVICES PRODUCTS

Corporations, government entities and other organizations use banks as trustee to handle the function associated with a stock or bond issue.

  1. Issuance and redemption of stocks or bonds
  2. Transfer and record keeping of stock or bonds
  3. None of these
  4. Both of these

Answer(s): D




Details: DOMAIN II-AUDITING FINANCIAL SERVICES PRODUCTS

A trust agreement is called:

  1. Trust paper
  2. Trust agreement document
  3. Both of these
  4. None of these

Answer(s): D




Details: DOMAIN II-AUDITING FINANCIAL SERVICES PRODUCTS

Stock transfer agent, Bond registrar, stock registrar and dividend reinvestments agent are the additional duties of:

  1. Brokers/Brokerage houses
  2. Corporate trust departments
  3. Mutual funds agencies
  4. None of these

Answer(s): B




Details: DOMAIN II-AUDITING FINANCIAL SERVICES PRODUCTS

A bank may serve as for a company's employee benefit and retirement plans.

  1. Administrator or agent
  2. Trustee or co-trustee
  3. Custodian or depository
  4. All of these

Answer(s): D



Viewing Page 12 of 65



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