Explore the role of trust and loan companies in Canada, their asset management services, and the regulatory environment governing their operations.
Explore the different types of investment dealers in Canada, including retail, institutional, and integrated firms, and understand their roles, services, and market specializations.
Explore the comprehensive services provided by investment dealers in the Canadian securities industry, including their role as market makers and advisors.
Explore the intricacies of Registered Pension Plans (RPPs) in Canada, including Money Purchase Plans and Defined Benefit Plans, contribution limits, and pension adjustments.
Explore essential strategies for maintaining client confidentiality in financial services, including secure data handling, client education, and regulatory compliance.
Explore the Duty of Care in financial services, focusing on Know Your Client (KYC) and Due Diligence, to ensure tailored and suitable financial recommendations.
Explore the critical role of the Know Your Client (KYC) rule in Canadian securities regulation, including steps for compliance, its impact on suitability assessments, and fraud prevention.
