Exam Code: IAM-Certificate
Exam Name: The Institute of Asset Management Certificate
Version: V13.25
Q & A: 72 Questions and Answers
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NEW QUESTION: 1
Your network contains two Active Directory sites in London and Toronto. The London site contains a Mailbox server named LONEX01. The Toronto site contains a Mailbox server named TOREX01.
You have a Microsoft Exchange Server 2019 organization that uses a namespace of contoso.com.
You need to ensure that all email sent to an email domain named fabrikam.com flows through the Toronto site.
How should you complete the command? To answer, select the appropriate options in the answer area.
NOTE: Each correct selection is worth one point.
Answer:
Explanation:
Explanation
NEW QUESTION: 2
The AGRO Mutual Fund invests in aggressive growth stocks of midcap corporations. The fund is running an advertisement on the radio that informs the listeners that AGRO earned a 22% return last year while the S&P 500 Index returned only 10%. The ad also contains information regarding how an interested investor can contain a fund prospectus.
Has AGRO violated any securities laws with this advertisement?
A. No. This would be considered a generic advertisement and not an offer to sell.
B. Yes. AGRO is required to provide information on the specific investments it made to earn that 22% return, given that the return is unusually high.
C. Yes. Although AGRO provided the return on the S&P 500 as well as its own return, the S&P 500 Index is comprised of average risk stocks and is not an appropriate benchmark for AGRO to use.
D. No. In addition to providing the listeners with its own return last year, AGRO appropriately provided the listeners with a benchmark return; thus there has been no violation of any laws.
Answer: C
Explanation:
Explanation/Reference:
Explanation: Yes. When AGRO runs an advertisement that informs the listeners that it earned a 22% return last year while the S&P 500 Index returned only 10%, it has violated securities laws because although the fund provided the return on the S&P 500 as well as its own return, it failed to mention that the S&P 500 Index is comprised of large company stocks of average risk, which is not an appropriate benchmark for AGRO to use. The appropriate index is one comprised of similar stocks, such as the Russell Mid-Cap Growth Index. Furthermore, any advertisement referencing past returns must contain a statement that past performance is not indicative of future performance.
NEW QUESTION: 3
Welche Art von Dingen sollte eine Institution in ihre Richtlinien und Verfahren zur Bekämpfung der Geldwäsche einbeziehen? Wähle 3 Antworten
A. Regelmäßige Audits, die mindestens einmal im Jahr von unabhängigen Mitarbeitern durchgeführt werden
B. Fortlaufende Schulung sowie Erstausbildung neuer Mitarbeiter
C. Überprüfung der AML-Richtlinien durch den Verwaltungsrat
D. Fähigkeit, relevante gesetzliche und behördliche AML-Änderungen zu berücksichtigen
Answer: A,B,D
NEW QUESTION: 4
A. Option A
B. Option C
C. Option B
D. Option D
Answer: C
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