第1题
The client objective motivating a monetization strategy is least likely to be:
A) increase portfolio systematic risk.
B) a tax efficient exit strategy.
C) provide funds to meet portfolio objectives.
第2题
All of the following are behavioral investor types identified by Pompian EXCEPT the:
A) active accumulator.
B) guardian.
C) friendly follower.
第3题
The liquidity requirements of a pension fund differ from the liquidity requirements of a life insurance company in that the liquidity requirements of a pension fund:
A) will be dictated by state statutes, whereas the liquidity requirements of a life insurance company will be dictated by federal statute.
B) will be a direct function of the age of employees and the retired-lives portion of participants, whereas the liquidity requirements of a life insurance company will be a function of the liability requirements of products sold.
C) and the liquidity requirements of an insurance company will be dictated by federal statute.
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