1. Which of the following types of investors is most likely to receive standardized services from...

1. Which of the following types of investors is most likely to receive standardized services from the investment industry?
A. Retail investors
B. High net worth investors

2. An endowment fund is best described as a long-term fund invested:
A. to provide income to current and future retirees
B. to support the mission of a non profit or not-for-profit institution

3. Which of the following investors hold investments on behalf of their clients?
A. Foundations
B. Investment companies

4. A company issuing debt or equity securities would most likely require assistance from an investment professional to:
A. prepare audited financial statements
B. find investors willing to purchase the securities

5. Financial planners help clients by:
A. holding securities on behalf of customers whose ownership is recorded as a book entry
B. suggesting asset allocations that are intended to help investors meet their financial goals

6. Which of the following is least likely to be a service provided by financial custodians?
A. collecting interest and dividends for clients
B. helping clients arrange investment trades with one another

7. Investment professionals who create savings plans and recommend investment strategies are most likely
A. dealers
B. investment research providers

PLEASE HELP

Solutions

Expert Solution

Question 1

Answer : A Retail investors

The standardised services are rendered to retail investors because they generate the least revenue per investor for investment firms and high net worth investors receive services specially tailored to their needs.

Question 2

Answer : B. to support the mission of a non profit or not-for-profit institution

Endowment funds are long-term funds of not- for-profit institutions such as universities, colleges, hospitals, schools, museums, theaters etc

Question 3

Answer : B Investment companies

Investment companies are organisations which hold money and securities on behalf of their clients. A foundation is funded by financial gifts and investment income and is a grant making institution.

Question 4

Answer : B find investors willing to purchase the securities

Investment professionals help their clients to achieve their investment goals by taking investment decisions. They act as principals and facilitate trading between investors.

jeff jeffy answered 1 year ago

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