Alternative Trading Systems (ATS)
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are privately owned computerized trading facilitates that match buy and
sell orders for securities traded outside of recognized exchanges.
can be owned by inimical brokerage firms or by groups of brokerage firms.
have the potential to threaten market stability die to lessened market
transparency, cross-border trading issues and technological glitches such
, as insufficient system capacity.
members and regulated by IIROC
taking market share away from traditional market exchanges
Investment Funds
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-companies or trusts that sell shares (often called units) to the public and
invest the proceeds in a diverse securities portfolio.
-Closed-End Funds typically issue shares only at start-up or other
infrequent periods while -Open-End Funds (mutual funds) continually issue
shares to investors and redeem these shares on demand.
-Mutual funds are much larger, accounting for 95% of aggregate funds
invested
3 types of firms
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-Integrated firms
-institutional firms
-retail firms
Derivatives
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, products based on or derived from an underlying instrument like a stock or
index
private equity investors are typically
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-Public pension plans
-Private pension plans
-Endowments
-Foundations
-High net worth investors
investment risk
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true return of bond vs YTM calculation
MFDA coverage
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coverage provided is limited to 1mm per customer account for losses
related to securities, cash balances, segregated funds and certain other
property held in the account of a MFDA member firm
, coincident indicators
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-Personal income
-GDP
-Industrial production
-Retail sales
CIPF
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Canadian Investor Protection Fund
provide insurance against insolvency
two main business of the insurance industry
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life insurance
property and casualty insurance
CDIC
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Give this one a try later!
are privately owned computerized trading facilitates that match buy and
sell orders for securities traded outside of recognized exchanges.
can be owned by inimical brokerage firms or by groups of brokerage firms.
have the potential to threaten market stability die to lessened market
transparency, cross-border trading issues and technological glitches such
, as insufficient system capacity.
members and regulated by IIROC
taking market share away from traditional market exchanges
Investment Funds
Give this one a try later!
-companies or trusts that sell shares (often called units) to the public and
invest the proceeds in a diverse securities portfolio.
-Closed-End Funds typically issue shares only at start-up or other
infrequent periods while -Open-End Funds (mutual funds) continually issue
shares to investors and redeem these shares on demand.
-Mutual funds are much larger, accounting for 95% of aggregate funds
invested
3 types of firms
Give this one a try later!
-Integrated firms
-institutional firms
-retail firms
Derivatives
Give this one a try later!
, products based on or derived from an underlying instrument like a stock or
index
private equity investors are typically
Give this one a try later!
-Public pension plans
-Private pension plans
-Endowments
-Foundations
-High net worth investors
investment risk
Give this one a try later!
true return of bond vs YTM calculation
MFDA coverage
Give this one a try later!
coverage provided is limited to 1mm per customer account for losses
related to securities, cash balances, segregated funds and certain other
property held in the account of a MFDA member firm
, coincident indicators
Give this one a try later!
-Personal income
-GDP
-Industrial production
-Retail sales
CIPF
Give this one a try later!
Canadian Investor Protection Fund
provide insurance against insolvency
two main business of the insurance industry
Give this one a try later!
life insurance
property and casualty insurance
CDIC
Give this one a try later!
