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Assante Foundations Week 1 Review

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Professional Development

Professional Development

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Assante Foundations Week 1 Review
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8 questions

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1.

MULTIPLE SELECT QUESTION

45 sec • 1 pt

What are the main transaction types? (Select all that apply)

Buy

Switch

Sell

Deposit

Withdrawal

2.

MULTIPLE SELECT QUESTION

45 sec • 1 pt

Which administration types are available at Assante (Select all that apply)

Nominee

Registered

Client Name

Demand

Third Party

3.

MULTIPLE CHOICE QUESTION

30 sec • 1 pt

Money in an account will sit here before it is invested. It is called:

Money Market

Demand

Nominee

Intermediary

4.

MULTIPLE CHOICE QUESTION

30 sec • 1 pt

If you receive a call asking for DSC information you can:

Van use eCISS to find the answer

Can use RPM to find info

Redirect the caller to the Fund Company

Transfer the call to Assante DSC team

5.

MULTIPLE SELECT QUESTION

45 sec • 1 pt

Which documents are required to open a new Nominee RRSP (select all that apply)

NAAF

Registered Account Application

Client ID

Locked in Addendum

W8-BEN

6.

MULTIPLE CHOICE QUESTION

30 sec • 1 pt

The number of NAAFs required is based on...

Account Administration Type

Ownership

Account type

7.

MULTIPLE SELECT QUESTION

45 sec • 1 pt

Which systems does the branch use to open accounts electronically?

Salesforce

SmartDox

PureFees

eCISS

Docusign

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