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Certified Trust and Financial Advisor (CTFA) Exam Dumps

CTFA Exam Format | Course Contents | Course Outline | Exam Syllabus | Exam Objectives

The knowledge areas knowledge areas

I. Fiduciary & Trust A. Nature and Characteristics 1. Trusts 2. Estates 3. Guardianships/ Conservatorships 4. Custodians 5. Financial and 6. Agencies B. Formal Requisites 1. Written Agreements or Documents 2. Trust Situs 3. Acceptance of 4. Disclaiming of Interest C. Fiduciary Responsibilities 1. Powers 2. Duties 3. Uniform Acts/Codes 4. Safekeeping of Assets 5. Environmental Issues D. Investment Responsibilities 1. Investment Powers 2. Investment Types & Restrictions 3. Sale/Retention 4. Prudent Investor E. Receipts, Payments 1. Duty in Making 2. Uniform Principal & Income Act F. Accounting and Compensation 1. Duty to Keep Records 2. Duty to Furnish Information to Beneficiaries 3. Duty to Render Court Accountings 4. Fiduciary Compensation G. Alteration or 1. Power to Change Terms 2. Power to Revoke or Terminate H. Regulatory/Compliance 1. Due Diligence 2. Know Your Customer 3. Privacy Issues 4. Bank Secrecy Act 5. OCC Regulation 9 6. Securities Laws II. Financial Planning (25%) A. Personal Finance 1. Time Value of Money Principles 2. Statement of 3. Cash Flow Management 4. Debt Management 5. Investment Planning 6. Education Planning 7. Health Care & Disability Planning B. Retirement 1. Capital Sufficiency 2. Investment Strategies 3. Wealth Accumulation & Distribution 4. Social Security & Other Programs 5. IRAs 6. Qualified and non-Qualified Plans 7. Income Needs & Sources C. Insurance 1. Life Insurance 2. Long Term Care Insurance 3. Disability 4. Annuities 5. Health Insurance 6. Property/Casualty Insurance 7. Insurance Company, D. Transfer Assistance 1. Wealth Transfer During Lifetime 2. The Flow of Property at Death 3. Business Succession Planning 4. Planning Documents 5. Planning Considerations 6. Charitable Giving Strategies 7. Special Needs Planning E. Financial Modeling 1. Risk Assessment 2. Asset Allocation III. Tax Law & Planning (25%) A. Income Tax 1. Individuals 2. Fiduciaries 3. Charitable Trusts, 4. Business B. Transfer Tax 1. Gift Tax 2. Estate Tax 3. Generation-Skipping IV. Investment Management (20%) A. Economics and Markets 1. Gross Domestic Product 2. Interest Rates 3. Inflation & Employment 4. Government Fiscal Policy 5. Monetary Policy 6. International Influences 7. Market Operations 8. Currency B. Portfolio Management 1. Modern Portfolio Theory 2. Equity Investment 3. Fixed Income 4. Hedging Strategies 5. Risk Management 6. Total Return C. Types of Investments/Selection 1. Equities 2. Fixed Income 3. Convertible Securities 4. Mutual Funds 5. Common Trust Funds 6. Closely-Held Businesses 7. Real Estate & Farms 8. International 9. Nontraditional 10. Master Limited Partnerships 11. Stock Options 12. ETFs 13. Oil, Gas & Minerals 14. Commodities & Precious Metals D. Client Objectives & Constraints 1. Investment Objectives 2. Risk Tolerance 3. Time Horizons 4. Tax Considerations 5. Current vs Future 7. Asset Allocation E. Performance Measurement 1. Time-Weighted vs. Dollar-Weighted 2. Risk Adjusted 3. Benchmarks & Indicies V. Ethics (5%) A. Advisory 1. Unauthorized Practice of Law 2. Conflict of Interest 3. Confidentiality 4. Undue Influence 5. Related Parties 6. Client Competence/Capacity B. Fiduciary 1. Duty of Loyalty 2. Breach of Trust 3. Trust Officer as Beneficiary 4. Personal Liability 5. Self Dealing 6. Gifts to/from Clients & Vendors C. Business Development 1. Business Solicitation 2. Compensation Arrangements D. Investment 1. Insider Information 2. Equal Treatment of Accounts 3. Directed Brokerage 4. Disclosures 5. Prudent Investor Standard E. Other 1. Relationship 2. Fraud Prevention below are the basis for the Certified Trust and Financial Advisor (CTFA) examination. These
were derived from a job analysis study and were validated by the CTFA Advisory Board. Postcertification programs that address these knowledge areas are eligible for CTFA continuing education credits through the American Bankers Association.

Activities (25%)

of Account Relationship

Health Care Powers of Attorney

of Establishing Account

Fiduciary Appointment

by Bank of Its Own Holding Company Securities

and Distributions

Payments or Distributions

Termination of the Trust

Assets and Liabilities

Product, and Intermediary Selection Criteria

Private Foundations, and Split Interest Trusts

Transfers (GST)

Theories and Concepts

Management Approaches

Investment Management Approaches

& Analysis

Objectives 6. Investment Restrictions & Preferences

with Other Professionals

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CTFA PDF Sample Questions

CTFA Sample Questions

Financial
CTFA
Certified Trust and Financial Advisor (CTFA)
http://killexams.com/pass4sure/exam-detail/CTFA
QUESTION: 440
A person purchased a share of Acme.com common stock exactly one year ago for $45.
During the past year the common stock paid an annual dividend of $2.40. The person sold the
security today for $85. What is the rate of return the firm has earned?
A. 5.3%
B. 194.2%
C. 88.9%
D. 94.2%
Answer: D
QUESTION: 441
A set of possible values that a random variable can assume and their associated probabilities
of occurrence are referred to as __________.
A. Probability distribution
B. The expected return
C. The standard deviation
D. Co-efficient of variation
Answer: A
QUESTION: 442
A statistical measure of the variability of a distribution around its mean is referred to as
__________.
A. Probability distribution
B. The expected return
C. The standard deviation
D. Co-efficient of variation
Answer: C
QUESTION: 443
The weighted average of possible returns, with the weights being the probabilities of
occurrence is referred to as __________.
A. Probability distribution
B. The expected return
C. The standard deviation
D. Co-efficient of variation
Answer: B
QUESTION: 444
Which of the following statements regarding covariance is correct?
A. Covariance always lies in the range -1 to +1
B. Covariance, because it involves a squared value, must always be a positive number (or
zero)
C. Low co-variances among returns for different securities leads to high portfolio risk
D. Co-variances can take on positive, negative, or zero values
Answer: D
QUESTION: 445
Total portfolio risk is __________.
A. Equal to systematic risk plus non-diversifiable risk
B. Equal to avoidable risk plus diversifiable risk
C. Equal to systematic risk plus unavoidable risk
D. Equal to systematic risk plus diversifiable risk
Answer: D
QUESTION: 446
It is a market condition normally associated with investor optimism, economic recovery, and
expansion; characterized by generally rising securities prices.
A. Bear market
B. Bull market
C. OTC
D. Dealers market
Answer: B
QUESTION: 447
______________ is a condition of the markets typically associated with investor pessimism
and economic slowdown; characterized by generally falling securities prices.
A. Bear market
B. Bull market
C. OTC
D. Dealers market
Answer: B
QUESTION: 448
A person who buys and sells securities on behalf of clients and gives them investment advice
and information is called:
A. Stockholder
B. Account executive
C. Financial consultant
D. All are one and the same
Answer: D
QUESTION: 449
A broker is:
A. Far more than a salesperson
B. Mostly interested in his own commission
C. May not be socially known
D. Can trade your stock without your permission
Answer: A, B
QUESTION: 450
A broker who, in addition to executing clients� transactions, offers a full array of brokerage
services is:
A. Full-service broker
B. Discount broker
C. Online broker
D. OTC broker
Answer: A
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CTFA Certified Exam dumps

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Domains

The CTFA advisory board has decided that a reliable have confidence consultant professional's abilities contains here domains:

Fiduciary ideas and purposes

built-in Planning and assistance (fiscal and Tax)

Asset management - interplay of All Asset forms

Administration of trust bills

possibility/Compliance management

Ethics

Relationship management

Please evaluate the CTFA Examination define for further details, as neatly because the FAQ doc and Webinar on examination changes.

study components

while ABA recommends these materials as acceptable examination guidance, ABA does not ensure that you are going to pass the examination by finishing these academic classes or discovering these substances alone. The CTFA examination assesses now not only your knowledge of the issues on the examination define, however also your application of that knowledge. you should refer often to the CTFA exam define when making ready for the examination.

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Certified Trust and Financial Advisor (CTFA) Exam Dumps

CTFA Exam Format | Course Contents | Course Outline | Exam Syllabus | Exam Objectives

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