Exam CIFC Topic 1 Question 214 Discussion

Actual exam question for IFSE Institute's CIFC exam
Question #: 214
Topic #: 1

Daisy is a Dealing Representative registered in the province of Saskatchewan only. Daisy's client, Orville, a resident of Lloydminster, Saskatchewan is a retiree who presently has a $1,000,000 with her dealer, Easy Ride Financial. Orville is now planning to move to Vegreville, Alberta next month. Easy Ride Financial is registered in Alberta and Saskatchewan. Neither Easy Ride Financial nor Daisy have any clients who are resident in Alberta.
Which of the following should Daisy do if she wants to continue to service Orville's account?

A. Register with a different mutual fund dealer that is registered in Alberta so she can keep Orville as a client. B. Daisy will need to forfeit her registration in Saskatchewan if she wants to be registered in Alberta to keep Orville as a client. C. Daisy could seek permission from her dealer to request a client mobility exemption with the Alberta Securities Commission. D. Request approval from the Mutual Fund Dealers Association of Canada to be eligible to be a registered Dealing Representative in Alberta

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