Browse IFC
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- 1.1 How has the Mutual Fund Industry Evolved?
- 1.2 What is the Value in Licensing?
- 1.3 Why Provide Excellent Client Service?
- 1.4 Why is Understanding Your Clients and Products Important?
- 1.5 Why are The Know Your Client Rule and Suitability Important?
- 1.6 What is the Role of a Mutual Fund Sales Representative?
- 1.7 Mutual Fund Sales in Practice
- 1.8 The Regulatory Environment in Canada
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- 3.1 What is Economics?
- 3.2 How is Economic Growth Measured?
- 3.3 What are the Phases of the Business Cycle?
- 3.4 What are the Key Labour Market Indicators?
- 3.5 What Role do Interest Rates Play?
- 3.6 What is the Nature of Money and Inflation?
- 3.7 How do Fiscal and Monetary Policies and International Economics Impact the Economy?
- 3.8 Additional Topics in Economics
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- 4.1 Why are Client Communication and Planning Important?
- 4.2 What is the Financial Planning Approach?
- 4.3 What are the Steps in the Financial Planning Process?
- 4.4 What is the Life-Cycle Hypothesis?
- 4.5 Assessing Client Risk Tolerance, Time Horizon, and Investment Objectives
- 4.6 Aligning Suitability with KYC
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- 7.1 Introduction to Investment Products
- 7.2 What Are Fixed-Income Securities?
- 7.3 The Fundamentals of Bond Pricing and Properties
- 7.4 What Are Equity Securities?
- 7.5 How Are New Securities Brought to Market?
- 7.6 What Are Derivative Securities?
- 7.7 Trading and Settlement Overviews
- 7.8 Summary and Application
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- 8.1 What is Risk and Return?
- 8.2 What are the Impacts of Economic Conditions in Comparing Returns?
- 8.3 How to Calculate a Return
- 8.4 How to Measure Risk
- 8.5 What is Portfolio Analysis?
- 8.6 How are Portfolios Managed?
- 8.7 What are the Methods of Analysis?
- 8.8 Additional Topics in Constructing Investment Portfolios
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- 9.1 What Are the Financial Statements?
- 9.2 Statement of Financial Position
- 9.3 Statement of Comprehensive Income
- 9.4 Statement of Changes in Equity
- 9.5 Statement of Cash Flows
- 9.6 Notes to the Financial Statements
- 9.7 Auditor’s Report
- 9.8 Financial Statement Analysis
- 9.9 Basic Financial Ratios and Key Performance Indicators (KPIs) for Funds
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- 14.1 How is Portfolio Performance Evaluated?
- 14.2 How is Performance Assessment Conducted?
- 14.3 How is a Comparison Universe Used?
- 14.4 How is Quartile Ranking Used?
- 14.5 Risk-Adjusted Performance Measures
- 14.6 Time-Weighted vs. Money-Weighted Returns
- 14.7 Common Pitfalls in Performance Evaluation
- 14.8 Regulatory Guidelines and Reporting Standards
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- 15.1 How Does Volatility Impact Mutual Fund Returns?
- 15.2 Steps in Selecting a Mutual Fund
- 15.3 Other Elements to Consider When Analyzing and Selecting Mutual Funds
- 15.4 The Role of Fees and Expenses in Fund Selection
- 15.5 Understanding Fund Benchmarks and Performance Comparisons
- 15.6 Leveraging Fund Fact Documents and Prospectuses
- 15.7 Ethical Considerations in Fund Selection
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- 17.1 Mandate and Scope of Securities Administrators
- 17.2 The Canadian Investment Regulatory Organization (CIRO)
- 17.3 Registration Requirements
- 17.4 How Representatives and Dealers Meet the Know Your Client (KYC) Rules
- 17.5 Steps in Opening a Mutual Fund Account
- 17.6 Prohibited Selling Practices
- 17.7 Rules for Communications with Clients
- 17.8 Other Legal Responsibilities
- 17.9 Other Considerations
Chapter 18: Applying Ethical Standards to What You Have Learned
In this section
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Ethics and the Standard of Conduct in Canadian Financial Services
Explore how ethical principles and standards of conduct guide financial professionals, protect client interests, and sustain trust in the Canadian financial industry.
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Additional Ethical Considerations
Explore crucial aspects of conflicts of interest, confidentiality and data protection, fair client treatment, whistleblowing, and professional competence in the Canadian mutual fund industry.
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How to Apply What You’ve Learned to Case Studies
Discover practical strategies and real-world applications for identifying and resolving ethical dilemmas in the Canadian mutual fund industry, leveraging CIRO guidelines and an ethical decision-making framework.
