Canadian Securities Course Exam 1
Robo-Advisors
- Currently Have $45 Billion Dollars in Assets
- Online Investment Service
Self-Regulatory Organizations
- IIROC - Investment Industry Regulatory Organization Of Canada
- MFDA - Mutual Funds Dealers Association
Canadian Investor Protection Fund
- Canadian Investor Protection Fund
- Provides Insurance Against Dealer Insolvency
Types Of Investment Dealers
- Retail Firms
- Institutional Firms
- Integrated Firms
Retail Firms
- Full Service Investment Dealers and Self-Directed Brokers
- Offers a Wide Variety Of Products And Services For The Retail investor
Institutional Firms
- Investment Dealers That Serve Exclusively Institutional Clients
- Organizations that Trade Large Volumes Of Securities. These Include Pension Plans
and Mutual Funds
Integrated Firms
- Full Service Firm
- Offers a Wide Variety Of Products an Services Across The Industry and Participate
Fully In Both Retail And Institutional Markets.
Organizations Within Firms
- Management
- Front Office
- Middle Office
- Back Office
Front Office
- All Functions Pertaining To Portfolio Management
- Trading
- Sales
- Marketing
Middle Office
- Performing Functions Critical To The Efficient Operation Of The Firm
- Compliance
- Accounting