Podcast
Questions and Answers
Which test involves considering whether one can tell their mom about what they do?
Which test involves considering whether one can tell their mom about what they do?
- Front page test
- Mom test (correct)
- Truth versus loyalty test
- Legal test
What does the 'End-based ethical thinking' involve according to the text?
What does the 'End-based ethical thinking' involve according to the text?
- Observing the results and review process
- Maximizing the benefit to maximum people (correct)
- Adhering to social harmony
- Reflecting personal character or objective
In the context of moral issues, which test involves considering individual versus group interests?
In the context of moral issues, which test involves considering individual versus group interests?
- Front page test
- Justice versus mercy test
- Personalistic-based ethical thinking
- Individual versus group test (correct)
What does RR stand for in the context of the text?
What does RR stand for in the context of the text?
What does CIRO expect from its RRs?
What does CIRO expect from its RRs?
Which of the following is considered conduct that contravenes the standards set forth in subsection 1402(1)?
Which of the following is considered conduct that contravenes the standards set forth in subsection 1402(1)?
What is the meaning of KYC + KYP in the context of the text?
What is the meaning of KYC + KYP in the context of the text?
What is the main difference between a Registered Representative (RR) and an Investment Representative (IR)?
What is the main difference between a Registered Representative (RR) and an Investment Representative (IR)?
What are values in the context of society and culture?
What are values in the context of society and culture?
What do ethical relativists believe in relation to moral principles?
What do ethical relativists believe in relation to moral principles?
When does an ethical dilemma exist?
When does an ethical dilemma exist?
What is the defining characteristic of a 'right versus wrong' ethical dilemma?
What is the defining characteristic of a 'right versus wrong' ethical dilemma?
In a 'truth versus loyalty' ethical dilemma, what conflicting values does it involve?
In a 'truth versus loyalty' ethical dilemma, what conflicting values does it involve?
What type of ethical dilemma involves the decision on whether to invest for short term or long term?
What type of ethical dilemma involves the decision on whether to invest for short term or long term?
What should be recommended in an 'ethical decision-making process' when facing a 'truth versus loyalty' dilemma?
What should be recommended in an 'ethical decision-making process' when facing a 'truth versus loyalty' dilemma?
What is one of the main focuses of CIRO during the fiscal year 2023-2024?
What is one of the main focuses of CIRO during the fiscal year 2023-2024?
What did the amalgamation of IIROC and MFDA result in?
What did the amalgamation of IIROC and MFDA result in?
Which department aims to promote the investor perspective within CIRO?
Which department aims to promote the investor perspective within CIRO?
What is one of the significant activities that CIRO will focus on during fiscal year 2023-2024?
What is one of the significant activities that CIRO will focus on during fiscal year 2023-2024?
What does CIRO primarily regulate?
What does CIRO primarily regulate?
What is the name of the information processor for Canadian corporate and government debt securities operated by CIRO?
What is the name of the information processor for Canadian corporate and government debt securities operated by CIRO?
When did the amalgamation of the Investment Industry Regulatory Organization of Canada (IIROC) and the Mutual Fund Dealers Association of Canada (MFDA) take effect?
When did the amalgamation of the Investment Industry Regulatory Organization of Canada (IIROC) and the Mutual Fund Dealers Association of Canada (MFDA) take effect?
What is the New Self-Regulatory Organization of Canada (New SRO) known as after June 1, 2023?
What is the New Self-Regulatory Organization of Canada (New SRO) known as after June 1, 2023?
What is the focus of the change leadership training for people leaders?
What is the focus of the change leadership training for people leaders?
What is the purpose of the joint report that Compliance CIRO will be finalizing with the CSA?
What is the purpose of the joint report that Compliance CIRO will be finalizing with the CSA?
What is an upcoming focus for the Mutual Fund Division examination?
What is an upcoming focus for the Mutual Fund Division examination?
What is the primary goal of obtaining delegation and operationalizing authorities in Québec with respect to Mutual Fund Dealer compliance examinations?
What is the primary goal of obtaining delegation and operationalizing authorities in Québec with respect to Mutual Fund Dealer compliance examinations?
What is the primary focus of Enforcement CIRO's pursuit of legislative authority?
What is the primary focus of Enforcement CIRO's pursuit of legislative authority?
What is the main purpose of the Memorandum of Understanding signed with the Montreal Exchange by IIROC?
What is the main purpose of the Memorandum of Understanding signed with the Montreal Exchange by IIROC?
What is the primary objective of CIRO's plan to finalize and implement amendments related to derivatives?
What is the primary objective of CIRO's plan to finalize and implement amendments related to derivatives?
What action does Proficiency and Registration Work aim to undertake by finalizing the competency profiles for Investment Dealer approval categories?
What action does Proficiency and Registration Work aim to undertake by finalizing the competency profiles for Investment Dealer approval categories?
