All course materials are provided. Upon confirmation of registration, the student will receive a free one-year subscription to Investment Executive, Canada's Newspaper for Financial Advisors.
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Life of a Trade
- Persons presently outside the industry looking to increase specific financial knowledge or seek entry to the industry
- Operational and administrative staff, particularly settlement, corporate action and custody staff in the financial and/or securities industry
- Investment and financial firms' IT staff
- Investment and financial firms' program and product developers
- Investment and financial firms' customer service representatives
- Employees of regulatory agencies
- Employees of custody agencies
- Industry vendors' employees
The benefit to the student is:
- Gain a better understanding of the key participants in the industry, their role and how they interact with one another.
- Learn who are the regulators and legislators that affect the Canadian, US and European securities industry and what are the key regulations to be aware of.
- Understand the importance of knowing your client 's investment needs and objectives in keeping with regulatory requirements.
- Gain a fundamental understanding of the various instruments available in today's markets.
Instructors: Determined at time of scheduling