Dive into the intricacies of the Canadian securities industry: its major participants, regulatory framework, and the interconnected financial ecosystem in Canada.
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.
Comprehensive guide on key terms and definitions in futures contracts, including concepts of margin requirements, marking to market, and cash-settled futures within the context of the Canadian Securities Course.
This chapter provides a detailed overview of the Montréal Exchange, including the listing of index futures, Government of Canada bonds, bankers’ acceptances, and the 30-day overnight repo rate.
A comprehensive guide on rights offers, intrinsic value of rights during ex-rights and cum-rights periods, and how rights are traded on stock exchanges.
Understand the continuous disclosure requirements for reporting issuers in Canada, including the significance of material changes, the standards for financial statements, and the necessary steps to ensure compliance.
An in-depth look at Canadian Government Issues, including the competitive tender system for marketable bonds and Treasury bills, types of bonds, bid structures, and the example auction process.
A detailed guide on the activities permitted for underwriters and dealers during the waiting period between the preliminary prospectus and final prospectus in the Canadian Securities Course.
An in-depth guide to understanding the Short Form Prospectus System in Canada, including its uses, conditions, and distinctions from the long form prospectus.
An in-depth guide to securities distributions through exchanges, focusing on the approval process, requirements, and exemptions for issuers.
An in-depth guide to understanding the options and features of treasury shares and escrowed shares, including their benefits, restrictions, and the impact on secondary market performance.
Explore the mechanism and regulatory aspect of crowdfunding in raising start-up capital through online platforms.
Understand the processes and reasons behind the withdrawal of trading privileges on stock exchanges, including temporary interruptions and delisting procedures.
Comprehensive summary of Chapter 12 focusing on financing and listing securities in capital markets, including federal and provincial financing, corporate capital raising, the Passport System, short form prospectuses, continuous disclosure requirements, after-market stabilization, and pros and cons of listing shares on an exchange.
Learn about fundamental analysis in the context of the Canadian Securities Course (CSC), including its importance in evaluating capital market conditions, economic conditions, industry conditions, and individual companies to measure intrinsic value.
Discover the fundamentals and key concepts of technical analysis in securities trading. Learn how past price movements and market sentiment help predict future price directions.
A comprehensive guide on Statement Of Comprehensive Income Analysis, understanding its components, performing in-depth financial ratio analysis, trend analysis, external comparisons, and their implications on company’s performance.
Understand the structure and key roles within a mutual fund, including directors, fund managers, distributors, and custodians. Learn about their responsibilities and how they interact to ensure the proper management and performance of the fund.
Learn about National Instruments 81-101 and 81-102, essential regulatory measures governing mutual funds in Canada.
A comprehensive guide on the Fund Facts document, its structure, and disclosure components designed for investors considering mutual funds.
Comprehensive guide to mutual fund restrictions including management limitations, regulatory controls on derivatives, prohibited selling practices, and detailed reporting requirements for mutual funds in Canada.
Detailed overview of relationship disclosure requirements for mutual fund dealers in Canadian securities regulation.
Learn about the process of establishing new accounts in accordance with KYC rules, including the necessary forms and information required.
Comprehensive guide on rules and regulations pertaining to the distribution of mutual funds by financial institutions in Canada, detailed discussion on registration, conflicts of interest, proficiency requirements, and necessary disclosures.
Detailed exploration of different types of equity funds, their objectives, risk profiles, and tax implications. In-depth analysis of sub-categories such as small-cap and mid-cap funds and dividend funds.
Explore the circumstances under which Canadian mutual funds might suspend redemptions, including regulatory requirements and exceptional conditions.
Learn about alternative investments, including their categories, benefits, risks, and structural features. Discover how these investments can enhance portfolio performance.
Learn about Alternative Mutual Funds (Liquid Alts) in Canada, their benefits, regulations, key differences from conventional mutual funds and hedge funds, and the investment landscape in various countries.
In-depth exploration of directional investment strategies including long/short equity, global macro, emerging markets, dedicated short bias, and managed futures strategies. This chapter covers essential concepts, examples, mathematical calculations, and advantages and considerations.
An introduction to other types of managed products beyond mutual funds and exchange-traded funds, detailing their structure, regulations, and taxation.
Learn about the features, advantages, and evolution of structured products in investment, as well as their role in providing unique risk, return, tax, and diversification benefits.
Comprehensive guide on full-service brokerage accounts including their fee structure, benefits, criteria, and additional services.
Learn about the Canadian Securities Administrators (CSA), their mission, roles, and key policies impacting Canada's capital markets.
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.
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 prohibited sales practices in the Canadian securities industry, including unethical behaviors and specific regulations such as the National Do Not Call List.
Learn how to calculate the fair price of a bond through present value calculations. This guide offers step-by-step instructions and formulas to determine the value of a bond's principal and coupon payments.
Learn how to calculate yield to maturity on bonds, understand its significance, and explore detailed procedures with examples and formulas.
Learn the comprehensive mechanics of non-electronic securities trade, including trade tickets, clearing and settlement, calculating accrued interest, and understanding bond indexes as described in the Canadian Securities Course.
An introduction to equity securities with a focus on common shares, comparing their long-term performance against bonds and inflation.
Understanding the benefits and risks of common share ownership is crucial for investors seeking to maximize returns and minimize risks. This guide explores key aspects such as capital appreciation, voting privileges, and limited liability, alongside potential risks like market volatility and dividend uncertainty.
This guide explores the rights of shareholders in the context of voting privileges, focusing on various types of shares, including restricted shares, and their impact on shareholders' participation in corporate governance.
Learn how to read and interpret stock quotations for listed and unlisted stocks traded on stock exchanges and over-the-counter (OTC) market.
An in-depth guide to understanding convertible preferred shares, their characteristics, benefits, and how they differ from straight preferred shares.
A comprehensive guide to understanding floating-rate preferred shares, including their market conditions, examples, characteristics, and implications for buyers.
A comprehensive summary of the key concepts covered in chapter 9.6 of the Canadian Securities Course, focusing on equity transactions, client account types, margin positions, and types of buy and sell orders.
