CCO Qualifying Practice Questions - Chief Compliance Officers Qualifying Examination Exam

Under what circumstance must an entity register as an Investment Fund Manager (IFM) under Canadian securities law?

If the entity manages a portfolio of securities for individual clients on a discretionary basis. If the entity directs the business, operations, or affairs of an investment fund. If the entity acts as the primary distributor of mutual funds to retail investors. If the entity provides investment advice to a pension fund.

Correct Answer:

If the entity directs the business, operations, or affairs of an investment fund.

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