A comprehensive introduction to the foundational concepts of financial intermediation, including real-life scenarios illustrating the roles of capital users and suppliers, the functions of financial intermediaries, and the impact on economic development.
Dive into the intricacies of the Canadian securities industry: its major participants, regulatory framework, and the interconnected financial ecosystem in Canada.
Understand the role of investment dealers as financial intermediaries, categorization of investment dealers, differences between principal and agency transactions, and their formal activities in financial markets such as primary market distributions and secondary market operations.
Learn about the different categories of investment dealers in the Canadian securities industry: Retail firms, Institutional firms, and Integrated firms.
Understand the organization within investment dealer firms, including the roles and functions of the front, middle, and back offices, and the significance of senior management.
Gain an in-depth understanding of the principal and agency functions of investment dealers. Learn how these roles impact the trading of securities and the services provided by investment dealers.
Learn about the clearing system used in the Canadian securities market, including the role of CDS Clearing and Depository Services, the netting process, and key roles of an investment dealer.
Explore the roles and functions of various financial institutions in Canada including chartered banks, credit unions, trust companies, and insurance firms.
Detailed guide on the chartered banks in Canada, their classifications, operations, and the regulatory framework within which they function, as set out by the Bank Act.
Learn about Credit Unions and Caisses Populaires, their financial services, the Cooperative Credit Associations Act (CCAA), and the investment rules they must follow.
Explore the roles and services of trust and loan companies in Canada, their regulatory framework, and their significance in financial planning and asset management.
A comprehensive guide covering the structure and components of insurance companies in Canada, emphasizing life insurance, property and casualty insurance, key legislations, and the unique roles of underwriting and reinsurance.
Explore the various financial intermediaries that play key roles in the Canadian financial services industry, such as investment funds, ATB Financial, consumer finance companies, sales finance companies, and pension plans.
Explore the latest financial market trends impacting the financial services industry in Canada and globally. Understand the factors driving these trends and how they influence financial markets.
An in-depth look into financial technology (fintech), its impact, key advancements, and how it is challenging traditional financial services in Canada.
An in-depth exploration of robo-advisors, their emergence in the investment landscape, particularly in the United States and Canada, their key features, benefits, and impact on the financial industry.
Understanding how social and economic shifts such as demographics, pension plans, savings rates, and debt levels impact the Canadian financial industry and investment strategies.
Dive deep into the world of cryptocurrency, including its definition, types of investment vehicles, the technology behind it, and its potential as an asset class.
A comprehensive overview of the key aspects of the Canadian Securities Industry covered in Chapter 1, including capital markets, investment dealer firms, financial intermediaries, and the role of Bitcoin.
A comprehensive guide to understanding the intricacies of the capital market, including investment capital, financial instruments, and financial markets, designed for the Canadian Securities Course certification exam.
Comprehensive overview of the securities industry's role in the Canadian economy, discussing the transfer of capital, the importance of financial intermediaries, markets, and instruments.
Explore the role of investment capital in the economy, focusing on its supply, use, and differentiating between direct and indirect investments. Learn about economic value and the importance of productive investment.
Explore the determinants of capital supply and usage in Canada, identifying key players and their roles in the financial ecosystem. This guide elaborates on the sources like individual savings, corporate revenues, and government surplus while detailing the diverse requirements for capital among individuals, businesses, and governments.
Discover the various types of financial instruments used in capital transactions, including debt securities, equity securities, derivatives, managed products, and structured products, along with examples and key features.
Learn the intricacies of the primary and secondary markets, how they function, and their roles in the financial ecosystem. Dive into the specifics of initial public offerings (IPOs), trading mechanisms, and much more.
Understand the workings of auction markets, including key concepts like bid-ask spreads, trades, and types of stock exchanges in Canada. This section covers the fundamental aspects of how securities are bought and sold and includes detailed examples and key definitions.
Exploring the workings of dealer markets, including the over-the-counter trading of bonds, debentures, and unlisted equities. The guide illuminates the methods and advantages of trading in dealer markets and synthesizes regulatory nuances in Canada.
This chapter provides an overview of the Canadian regulatory environment, detailing the roles of various regulatory bodies and principles underlying fair capital markets. Key concepts include regulation purposes, principles-based regulation, remediation options, and ethical standards in the financial services industry.
This chapter outlines the introduction to regulation in the Canadian securities industry, discussing the roles of regulatory bodies, investor protection, market integrity, and the principles-based regulatory environment.
A thorough guide to understanding Self-regulatory Organizations (SROs) in Canada, including IIROC and MFDA, and their roles, responsibilities, and impacts on the securities market.
Learn about the Office of the Superintendent of Financial Institutions (OSFI), its role as Canada's financial regulatory body, and the institutions it oversees.
A comprehensive guide to understanding the investor protection funds available in the Canadian securities industry, including detailed explanations of CIPF, MFDA IPC, CDIC, and provincial insurance corporations.
An in-depth exploration of the fundamental principles underlying securities legislation in the Canadian financial services industry. Understand the roles of various regulatory bodies, key legal statutes, and the implications of non-compliance.
An in-depth look at the purpose and importance of regulation in the securities industry, including the objectives of consumer protection, fairness, economic stability, and achieving social objectives.
Explore the principles-based regulatory model in the Canadian securities industry, learn its objectives, benefits over rules-based regulation, and see real-life examples.
A detailed guide on the securities regulation in Canada, including provincial legislation, the role of self-regulatory organizations, and the ongoing discussion around a unified national regulatory authority.
Comprehensive guide to the National Registration Database (NRD), explaining its purpose, functionalities, and requirements for investment dealers and their employees in Canada.
Understand the crucial gatekeeper role performed by Investment Advisors in the securities industry, including requirements and practices to prevent illegal activities such as money laundering, terrorist financing, financial fraud, and insider trading.
Understand the role and function of the Ombudsman for Banking Services and Investments (OBSI) in resolving financial disputes in Canada's financial services industry.
Understand the importance of ethical standards within the financial services industry, identify unethical practices, and review the consequences of infractions.
Explore common unethical practices in the securities industry, including deceit, market manipulation, and misleading clients. Understand potential consequences and the responsibilities of securities dealers.
Explore prohibited sales practices in the Canadian securities industry, including unethical behaviors and specific regulations such as the National Do Not Call List.
Comprehensive summary and key takeaways from Chapter 3 on the Canadian regulatory environment in the Canadian Securities Course. Includes frequently asked questions and review questions for comprehensive understanding.