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Exam CIFC Topic 1 Question 42 Discussion

Actual exam question for IFSE Institute's CIFC exam
Question #: 42
Topic #: 1
Robin is preparing for a client meeting. She is gathering information about a mutual fund that she would like to recommend to her client. Which of the following documents would be considered sales communication?

Suggested Answer: C Vote an answer

Explanation
Sales communication is any written or electronic communication that is intended to promote the sale of a mutual fund, or to influence a person to buy or sell a mutual fund. Sales communication includes any advertisement, brochure, report, newsletter, or other material that is distributed to existing or potential clients.
A marketing brochure is an example of sales communication, as it is designed to inform and persuade clients about the features and benefits of a mutual fund. A prospectus, a fund facts, and an annual information form are not considered sales communication, as they are legal documents that provide essential information about a mutual fund, such as its investment objectives, strategies, risks, fees, and performance. These documents are required by securities regulators and must be delivered to investors before or after they purchase a mutual fund.
References = Canadian Investment Funds Course, Unit 7: The Regulatory Environment, Lesson 2: Sales Communication, Section 7.2.1: Definition and Scope of Sales Communication1; CIFC prepkit, Chapter 7: The Regulatory Environment, Question 7.2.1 2

by Marlon at Jan 24, 2024, 01:19 PM

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