Exam CIFC Topic 1 Question 3 Discussion

Actual exam question for IFSE Institute's CIFC exam
Question #: 3
Topic #: 1

Portia is a Dealing Representative with Highview Wealth Inc., a mutual fund dealer. Portia recommends the Stature Growth Fund to her client Clive. Which of the following CORRECTLY describes what Portia must do in order to satisfy her obligations under the Client Relationship Model (CRM) and Client Focused Reforms (CFR)?

A. Portia must calculate the net asset value per unit (NAVPU) and report it to Give in the trade confirmation. B. Portia must provide Clive with the pre-trade disclosure to address any material conflicts of interest with the trade. C. Portia must disclose the costs, expenses, and ongoing fees associated with the investment prior to the trade. D. Portia must mark the trade as ^unsolicited" if Clive wants to proceed with the trade and it is not suitable for him.

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