Csc canadi - Study guides, Class notes & Summaries

Agent - When a broker acts as a _________, it acts for or on behalf of a buyer or a seller, but does not itself own title to the securities at any time during the transaction Capital Markets - Markets that trade debt (bonds) and equity (stock) instruments with maturities of more than one year Self-regulatory organizations - Responsible for setting the rules that govern many aspects of investment dealers' operations, including sales, finance, and trading. Investment dealers - Act as interm...

The document provides a comprehensive overview of the Canadian Securities Course exam, detailing various concepts and practices related to investment dealers, bank types, market structures, financial regulations, and monetary policies in Canada. It outlines the roles and services of investment dealers, characterizes different types of banks, explains aspects of market making, and delves into the regulatory framework governing the financial sector, including investor protection and the functions ...

Canadian securities industry is mainly regulated by the ______ - Provinces The Investment Industry Regulatory Organization of Canada (IIROC) is an example of a ______ - Self-regulatory organization (SRO) Securities commissions delegate some of their powers to _____, who establish and enforce industry regulations - SROs Three categories of investment dealers: - Retail firms, Institutional firms, Integrated firms In Canada, foreign firms account for about ____% of all institutional clients -...

CSC Chapter 1 - Canadian Securities Industry Questions with correct Answers Agent When a broker acts as a _________, it acts for or on behalf of a buyer or a seller, but does not itself own title to the securities at any time during the transaction Capital Markets Markets that trade debt (bonds) and equity (stock) instruments with maturities of more than one year Previous Play Next Rewind 10 seconds Move forward 10 seconds Unmute 0:00 / 0:15 Full screen Brainpower R...