CISI ICWIM Practice Tests - ICWIM Reliable Test Duration, Reliable ICWIM Practice Questions - Cads-Group

  • Exam Number/Code : ICWIM
  • Exam Name : International Certificate in Wealth & Investment Management
  • Questions and Answers : 260 Q&As
  • Price: $ 99.00 $ 39.00

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NEW QUESTION: 1
Refer to the exhibit. Both controllers are in the same mobility group. Which result occurs when client 1 roams between APs that are registered to different controllers in the same WLAN?
A. The client database entry moves from controller A to controller B.
B. Client 1 contact controller B by using an EoIP tunnel.
C. CAPWAP tunnel is created between controller A and controller B.
D. Client 1 users an EoIP tunnel to contact controller A.
Answer: C

NEW QUESTION: 2
How do you create a partner account login for HP Command Center?
A. Contact an HP distributor to request an NFR license.
B. Purchase a support contract via hp.com.
C. Purchase a support contract from an HP distributor.
D. Contact HP to request an invitation.
Answer: D

NEW QUESTION: 3
MoeMoney Investment Advisers uses the services of two broker-dealers exclusively when it executes trades for its clients' accounts. The larger of the two broker-dealers provides MoeMoney with research from its analyst department in return for the business and also serves as the custodian for some of MoeMoney's clients' accounts. The smaller of the two broker-dealers picks up the utility bill for MoeMoney.
MoeMoney is careful to disclose this form of "soft dollar" compensation to its clients.
Is it in violation of any securities laws?
A. Yes. Investment advisers are required to use more than two broker-dealers when executing trades on its clients' accounts.
B. Yes. Investment advisers are prohibited from receiving any soft dollar compensation whatsoever.
C. No. Investment advisers are entitled to receive soft dollar compensation from broker-dealers with which it has a relationship as long as they disclose this to their clients.
D. Yes. Although investment advisers are permitted to receive some forms of soft dollar compensation from broker-dealers with which it has a relationship, such as research or custodial services, other forms of soft dollar compensation, including the payment of overhead expenses,are prohibited.
Answer: D
Explanation:
Explanation/Reference:
Explanation: Yes. MoeMoney is in violation of securities laws in accepting payment of its utility bills for directing business to the smaller broker-dealer because this form of soft dollar compensation is prohibited.
Some forms of soft dollar compensation are permitted, such as the research and custodial services MoeMoney receives from the larger broker-dealer, but the payment of any office overhead expense is not.
Allowed soft dollar compensation is deemed to benefit both the investment adviser and its clients; soft dollars that seem to benefit only the adviser are not allowed.

NEW QUESTION: 4
시스템 관리 사무소는 다음 규칙을 구현하려고 합니다.
-스킬 3 급으로 지정된 관리자, 5 년
경험을 바탕으로 시스템 백업, 업그레이드 및
지방 행정.
-숙련도 5 등급으로 지정된 10 년 경력의 관리자는 시스템 관리와 관련된 모든 작업을 수행 할 수 있습니다.
이 목표를 달성하려면 다음 액세스 제어 방법 중 어떤 것이 구현되어야 합니까?
A. 속성 기반 액세스 제어 (ABAC)
B. 필수 액세스 제어 (MAC)
C. 역할 기반 액세스 제어 (RBAC)
D. 임의 액세스 제어 (DAC)
Answer: C

 

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CISI ICWIM Practice Tests - ICWIM Reliable Test Duration, Reliable ICWIM Practice Questions - Cads-Group


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