1.3 The Role of Securities Professionals

In this section

• Investment Advisors: Roles, Responsibilities, and Regulatory Framework
  Explore the comprehensive role of investment advisors, their regulatory requirements, and the ethical standards they uphold in the financial industry.
• Portfolio Managers: Key Roles and Responsibilities in Investment Management
  Explore the critical role of portfolio managers in investment management, including asset allocation, risk management, and regulatory compliance.
• Compliance Officers: Ensuring Adherence in Financial Organizations
  Explore the pivotal role of compliance officers in financial organizations, focusing on their responsibilities, challenges, and contributions to risk management.
• Ethical Standards and Professionalism in the Canadian Securities Industry
  Explore the critical role of ethical standards and professionalism in the Canadian securities industry, including key principles, common dilemmas, and strategies for maintaining integrity.

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