Exam IFC Topic 1 Question 288 Discussion

Actual exam question for CISI's IFC exam
Question #: 288
Topic #: 1

Kendrick is a newly registered Dealing Representative for Oak Solid Financial. He has been assigned the task of contacting existing clients where there has been no record of consultation within the last 12 months. The first person he sees on his list is a client named Chandra Ruffino. He double-checks if her phone number is on the Do Not Call List (DNCL) registry. Which of the following statements apply?

A. If Chandra is on the DNCL registry, Kendrick is still eligible to contact the client of Oak Solid Financial. B. If Chandra has been on the DNCL registry for 18 months, then Kendrick is not allowed to contact her. C. If Chandra is on the DNCL, then Kendrick can only contact her if she is specifically his client. D. If Chandra had closed her account within the last 12 months and registered herself on the DNCL, then Kendrick cannot call her.

Suggested Answer: A Vote an answer

The Do Not Call List (DNCL) is a national registry of personal telephone numbers that consumers can register to reduce the number of unsolicited telemarketing calls they receive. Telemarketers are required to subscribe to the DNCL and avoid calling the numbers on the list, unless they have an exemption. One of the exemptions is for existing business relationships, which means that a telemarketer can call a consumer who has purchased a product or service from them or their employer within the last 18 months, or who has made an inquiry or application within the last six months. Therefore, Kendrick is still eligible to contact Chandra, who is an existing client of Oak Solid Financial, even if she is on the DNCL registry. However, Kendrick must respect Chandra's right to request that he stop calling her and remove her number from his contact list.
1: Canadian Investment Funds Course, Chapter 1: The Canadian Financial Services Industry1, National Do Not Call List - Canada.ca2

by Ian at Oct 07, 2025, 09:35 AM

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