Canadian Securities Course (CSC) Practice Exam

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What does the front office of financial firms typically handle?

  1. Compliance and audits

  2. Settlements and clearing

  3. Portfolio management and trading

  4. Accounting and legal

The correct answer is: Portfolio management and trading

The front office of financial firms typically handles portfolio management and trading, as this involves the direct management and execution of investments and trading activities for clients. Option A, compliance and audits, is incorrect as this usually falls under the responsibilities of the middle or back office. Option B, settlements and clearing, is not typically handled by the front office as it involves the processing and confirmation of trades, which is usually done by the middle or back office. Option D, accounting and legal, is incorrect as these functions are usually managed by separate departments in financial firms.

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