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NEW QUESTION: 1
閉じられた機会と失われた機会に対処するために行う構成の変更を決定する必要があります。
どの変更を完了する必要がありますか？答えるには、適切な変更を正しい追加にドラッグします。各変更は、1回使用することも、複数回使用することも、まったく使用しないこともできます。コンテンツを表示するには、分割バーをペイン間でドラッグするか、スクロールする必要がある場合があります。
注：正しい選択はそれぞれ1ポイントの価値があります。

Answer:
Explanation:

Explanation

NEW QUESTION: 2
取締役会と金融機関の上級管理職は、効果的なAMLプログラムに関してどの3つが確立され、遵守されていることを確認する必要がありますか？
A. AMLのすべての主要な問題を常に把握しています
B. 規制順守は、関連するすべての職務記述書の一部になります
C. 国際的なガイダンスに従い、理解します
D. 強力なコンプライアンスプログラムがあります
Answer: A,B,D

NEW QUESTION: 3
Which of the following is not true about mutual funds and variable annuities?
A. the registered representative must have FINRA registration to solicit either one
B. the payout of each depends on the investment results of the securities owned in the portfolio
C. the holder of each must pay income taxes on the dividends received each year
D. each is regulated under the Investment Company Act of 1940
Answer: C
Explanation:
Explanation/Reference:
Explanation: the holder of each must pay income taxes on the dividends received each year. Only the holder of mutual fund shares must pay income tax on annual dividends. This is "not" true of annuity owners. The other choices are true statements.