Ifse - Cifc - Unit 1 Already Passed

NI 81-102 {Ans: Mutual Funds is the main instrument regulating mutual funds. It regulates how mutual funds are managed, bought and sold}NI 31-103 {Ans: Registration Requirements and Exemptions provides the harmonized registration rules for the registration of firms and individuals with the provincial or territorial securities commissions}What are considered Politically Exposed Foreign Persons? {Ans: 1. Head of state or government 2. Member of the executive council of government or legislature 3. Deputy minister (or equivalent) 4. Ambassador or ambassador's attaché or councillor 5. Military general (or higher rank) 6. President of a state-owner company or bank 7. Head of government agency 8. Judge 9. Leader or president of a political party in a legislature}CSA {Ans: National Instruments are developed through?}CASL {Ans: Canada's Anti-Spam Legislation - in effect as of July 1, 2014. Senders of commercial electronic messages have to obtain consent from the recipient before a message is sent. Senders must identify themselves and allow the recipient to withdraw consent.}What is considered a large cash transaction? {Ans: $10,000 or more}Privacy Act {Ans: Imposes obligations on federal government departments and agencies to respect privacy rights by limiting the collection, use and disclosure of personal