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| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Prospective client relationships | 10% | - Institutional client qualification - Client relationship model - Retail and institutional clients - Accredited investors and exemptions - Client recordkeeping - Costs, fees, turnover and taxes - Account agreements and welcome documentation - Third parties and professional advisers - Retail client information and risk profile - Investment Dealer onboarding process |
| Topic 2: Market integrity, trade execution and settlement | 12% | - Account types - Order variations, cancellations and corrections - Order entry, trade processing, settlement and delivery - Order confirmation requirements - Gatekeeping for manipulative and deceptive practices - Investment banking, research and corporate finance - Reporting obligations - Order types - Margin requirements - Universal Market Integrity Rules - UMIR gatekeeping obligations - Derivative trading agreements |
| Topic 3: Conflicts of interest and ethics | 15% | - CIRO and other ethical standards - Positions of influence - Outside activities of Approved Persons - Ethics and regulatory rules - Client confidentiality - Conflict identification, avoidance, addressing and disclosure - Cybersecurity and confidential information - Ethical principles and standards of conduct - Information barriers and restricted lists - Managing conflicts of interest - Ethical and legal responsibilities to clients - Personal financial dealings with clients |
| Topic 4: Market and company analysis | 8% | - Macroeconomic effects on financial markets - Market theories and stock market behaviour - Macroeconomic factors and policies - Basic economic theories - Company regulation, disclosure and investor rights - Economic information and indicators - Technical and statistical analysis tools - Industry performance analysis - Company performance analysis |
| Topic 5: Overview of Canadian securities regulatory framework | 10% | - Marketplaces and trading venues - Canadian Investor Protection Fund - Clearing agencies - Role and authority of the Canadian Securities Administrators and provincial/territorial securities and derivatives regulators - Role and authority of the Canadian Investment Regulatory Organization - Anti-money laundering requirements - Investment Dealer registration and individual approval requirements - Other investment industry regulators and agencies - Confidentiality, privacy, anti-spam and shareholder rights legislation - Bank Act and Bankruptcy and Insolvency Act - Criminal Code and financial crime |
| Topic 6: Securities, managed products, mutual funds and other investments | 19% | - Exchange-traded funds - Market indices - Other investments - Pooled products - Mutual funds - Equity investment considerations - Equities - Managed product investment considerations - Asset classes - Managed products - Fixed income securities and products - Fixed income investment considerations |
| Topic 7: Client complaint handling and reporting | 5% | - Investment Dealer obligations to clients - Client issues and potential liability - Complaint policies, procedures and recordkeeping - Settlement agreements with clients - Client recourse options - CIRO and provincial regulator roles in complaint handling - Investment Dealer complaint reporting obligations |
| Topic 8: Derivatives | 5% | - Derivative account administration - Listed and over-the-counter derivatives markets - Derivative trading strategies - Prohibited derivative trading practices - Uses of derivatives - Transactional elements of futures and options - Options - Futures, forwards, swaps and contracts for difference |
| Topic 9: Scope of client relationships | 15% | - Know-your-product requirements - Client suitability determination - Investment Representative role and client service - Retail Investment Dealer services - Investment performance benchmarks - Account appropriateness versus suitability - Registered Representative role and client service - Institutional client sophistication and suitability exemptions - Suitability exemptions - Escalation to subject matter experts - Clients residing in the United States and other foreign jurisdictions - Product due diligence - Investment management styles and strategies - Trust, agency and fiduciary duty - Account appropriateness - Relationship disclosure - Institutional Investment Dealer services |
1. In a competitive market, when the quantity demanded equals the quantity supplied, what is the result for the price of the good or service?
A) The price will increase due to excess supply
B) The price will fluctuate unpredictably based on market sentiment
C) The price will remain stable at the equilibrium point
D) The price will decrease due to excess demand
2. An Investment Dealer wants to set up and operate a new alternative trading system (ATS). What must they ensure to be compliant?
A) Secure Canadian Securities Administrators (CSA) recognition as a regulated marketplace
B) Restrict ATS access to institutional investors
C) Limit trading to domestic securities
D) Notify the Financial Transactions and Reports Analysis Centre of Canada (FINTRAC) of all client transactions
3. What is the function of the Canadian Securities Administrators (CSA) in regulating alternative trading systems (ATS)?
A) To manage the clearing and settlement of trades executed on ATS
B) To approve all trades placed and executed on ATS platforms
C) To regulate the conduct of individual Investment Dealers on ATS platforms
D) To ensure ATS platforms comply with securities laws and maintain transparency
4. Which of the following is a key feature of government bonds?
A) Government bonds typically have a high level of credit risk due to the issuer's potential for default
B) Government bonds do not have an expiration date, and investors can hold them indefinitely
C) Government bonds offer a fixed rate of return paid periodically, with the principal repaid at maturity
D) Government bonds are considered speculative investments due to their fluctuating interest rates
5. A shareholder in Canada receives a dividend payment from a Canadian corporation. Which of the following best describes how dividends are typically received in Canada?
A) Dividends are paid directly to the shareholder's bank or brokerage account
B) Dividends are paid in a combination of stock and cash, where shareholders decide case by case
C) Dividends are automatically reinvested unless the shareholder opts out
D) Dividends are declared and distributed after shareholders submit a claim of dividend
Solutions:
| Question # 1 Answer: C | Question # 2 Answer: A | Question # 3 Answer: D | Question # 4 Answer: C | Question # 5 Answer: A |
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