Canadian Securities Course Exam 1 Questions And Answers Latest 2025.docx

Canadian Securities Course Exam 1
Questions And Answers Latest 2025
Robo-Advisors -
correct answer ✅- Currently Have $45 Billion Dollars in Assets
- Online Investment Service


Self-Regulatory Organizations -
correct answer ✅- IIROC - Investment Industry Regulatory
Organization Of Canada
- MFDA - Mutual Funds Dealers Association


Canadian Investor Protection Fund -
correct answer ✅- Canadian Investor Protection Fund
- Provides Insurance Against Dealer Insolvency


Types Of Investment Dealers -
correct answer ✅- Retail Firms
- Institutional Firms
- Integrated Firms


Retail Firms -
correct answer ✅- Full Service Investment Dealers and Self-
Directed Brokers

,Canadian Securities Course Exam 1
Questions And Answers Latest 2025
- Offers a Wide Variety Of Products And Services For The Retail
investor


Institutional Firms -
correct answer ✅- Investment Dealers That Serve Exclusively
Institutional Clients
- Organizations that Trade Large Volumes Of Securities. These
Include Pension Plans and Mutual Funds


Integrated Firms -
correct answer ✅- 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 -
correct answer ✅- Management
- Front Office
- Middle Office
- Back Office

,Canadian Securities Course Exam 1
Questions And Answers Latest 2025
Front Office -
correct answer ✅- All Functions Pertaining To Portfolio
Management
- Trading
- Sales
- Marketing


Middle Office -
correct answer ✅- Performing Functions Critical To The Efficient
Operation Of The Firm
- Compliance
- Accounting
- Audits
- Legalities


Back Office -
correct answer ✅- Settles Security Transactions


Principle Transactions (Acting As A Principle) -
correct answer ✅- Owns The Securities As Part Of Their Inventory
- Underwriting - Uses Own Capital to Buy And Sell At A Profit

, Canadian Securities Course Exam 1
Questions And Answers Latest 2025

Underwriting -
correct answer ✅Use Own Capital To Buy And Sell At A Profit


Agency Transactions (Acting As An Agent) -
correct answer ✅- Does Not Own the Securities
- Acts On Behalf Of Buyers Or Sellers
- Profit Is From Commission


Schedule i Charter Banks -
correct answer ✅- Fully Owned and Operated As Canadian Banks
- Domestic
- Canada's Six largest Banks
- Bank Of Montreal (BMO)
- Canadian Imperial Bank Of Commerce (CIBC)
- Royal Bank Of Canada (RBC)
- The Bank OF Nova Scotia
- Toronto-Dominion Bank (TD Bank)
- National Bank