Chapter 27: Working with the Institutional Client

In this section

• The Sell Side and the Buy Side of the Market: Key Roles in Canadian Capital Markets
  Discover how sell-side and buy-side institutions interact in Canada's capital markets, focusing on their distinct roles, regulatory frameworks, and best practices for institutional clients.
• The Responsibilities of a Buy-Side Portfolio Manager and Trader
  Explore the key duties, decision-making processes, and regulatory considerations for buy-side portfolio managers and traders in Canada’s institutional investment market.
• The Organizational Structure of a Sell-Side Trading Firm
  A comprehensive overview of how sell-side trading firms are structured, highlighting investment banking, sales and trading, research, compliance, and technology within Canada's regulatory environment.
• The Revenue Sources for Sell-Side Trading Firms
  Discover how sell-side trading firms in Canada generate revenue—from underwriting fees and market making to proprietary trading and advisory services. Learn how regulatory frameworks guide capital allocation, risk management, and profitability in the Canadian marketplace.
• Institutional Clearing and Settlement
  Explore how institutional trades are cleared and settled in the Canadian market, focusing on best practices, regulatory frameworks, and risk management essentials for seamless post-trade operations.
• Roles and Responsibilities in the Institutional Market
  Explore the specialized roles within institutional finance, including portfolio managers, traders, analysts, and compliance, crucial for managing large-scale investments under Canadian regulations.
• Investment Styles, Guidelines, and Restrictions
  Explore how institutional investment styles and mandates shape portfolio guidelines, constraints, and ethical considerations in the Canadian market.
• Algorithmic Trading: Navigating High-Speed Markets with Confidence
  Explore how algorithmic trading continues to reshape the Canadian institutional landscape, from dark pools and high-frequency trading to regulatory frameworks and risk management protocols.