CCO Qualifying Practice Questions - Chief Compliance Officers Qualifying Examination Exam

Which of the following activities is an Exempt Market Dealer (EMD) permitted to engage in under NI 31-103?

Act as a dealer in any transaction involving a prospectus-exempt security with an accredited investor. Act as an underwriter or dealer for any securities listed on the Toronto Stock Exchange (TSX). Trade mutual fund units to retail investors without checking prospectus-exempt criteria. Manage an investment portfolio on a discretionary basis for individual clients.

Correct Answer:

Act as a dealer in any transaction involving a prospectus-exempt security with an accredited investor.

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