Canadian Securities Course Exam 1 Questions With Complete Correct Answers.

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 - Audits - Legalities Back Office - - Settles Security Transactions