Chapter 1: Wealth Management Today
- 1.1 Wealth Management in Canada
- 1.2 Wealth Management Services in Canada
- 1.3 Key Trends Shaping the Future of Wealth Management
- 1.4 Regulatory Environment
- 1.5 Competencies of Successful Wealth Advisors
- 1.6 The Wealth Management Process
- 1.7 Building a Team of Specialists
Chapter 2: Ethics and Wealth Management
- 2.1 Ethics in the Financial Services Industry
- 2.2 Types of Ethical Dilemmas
- 2.3 Resolving Ethical Dilemmas
- 2.4 Code of Ethics
- 2.5 Trust, Agency, and Fiduciary Duty
- 2.6 What Can Happen When an Advisor Ignores Ethics
Chapter 3: Getting to Know the Client
- 3.1 Information Required by Regulation and Law
- 3.2 Going Beyond the Regulatory and Legal Minimum
- 3.3 The Client Discovery Process
Chapter 4: Assessing the Client's Financial Situation
- 4.1 Analyzing Personal Financial Statements and Savings Plan
- 4.2 Time Value of Money
Chapter 5: Consumer Lending and Mortgages
- 5.1 Credit Planning
- 5.2 Residential Mortgages
- 5.3 Key Financial Factors to Consider When Purchasing a Home
- 5.4 Methods of Reducing Interest Costs and Penalties
- 5.5 Related Mortgage Topics and Financial Planning Issues
Chapter 6: Legal Aspects of Family Dynamics
- 6.1 Family-Related Issues
- 6.2 Fundamental Aspects of Family Law
- 6.3 Domestic Contracts
- 6.4 Property Issues on Relationship Breakdown
- 6.5 Impact of Divorce on a Client’s Financial Plan
Chapter 7: Personal Risk Management Process
- 7.1 Strategic Wealth Preservation: The Big Picture
- 7.2 Risk in the Context of Strategic Wealth Management
- 7.3 Measuring Risk
- 7.4 Identifying Risk within a Client’s Net Worth
- 7.5 The Family Life Cycle
- 7.6 The Personal Risk Management Process
Chapter 8: Understanding Tax Returns
- 8.1 Financial Planning and Taxation
- 8.2 Personal Income Tax Returns
- 8.3 Taxation of Investment Income
- 8.4 Taxable and Non-Taxable Employee Benefits
Chapter 9: Tax Reduction Strategies
- 9.1 Techniques to Minimize Taxes
- 9.2 Tax-Free Savings Accounts
- 9.3 Registered Plans Used for Non-Retirement Goals
- 9.4 Incorporation
Chapter 10: Registered Retirement Savings Plans
- 10.1 Preparing to Fund Retirement
- 10.2 Overview of Registered Retirement Savings Plans
- 10.3 Registered Retirement Savings Plan Contribution Rules
- 10.4 Management of RRSP Accounts
- 10.5 What Clients Should Know About Their Registered Retirement Savings Plans
Chapter 11: Employer-Sponsored Pension Plans and Funding Retirement
- 11.1 Employer-Sponsored Pension Plans
- 11.2 Funding Retirement
Chapter 12: Government Pensions Programs
- 12.1 Canada Pension Plan (CPP) and Quebec Pension Plan (QPP)
- 12.2 Old Age Security (OAS) Program
Chapter 13: Retirement Planning Process
- 13.1 Planning for Financial Security in Retirement
- 13.2 Retirement Income Needs Analysis
- 13.3 Tax-Minimization Strategies
- 13.4 Questions to Consider When Advising Clients on the Retirement Planning Process
Chapter 14: Protecting Retirement Income
- 14.1 Understanding Annuities
- 14.2 Types of Annuities
- 14.3 Segregated Funds
- 14.4 Guaranteed Minimum Withdrawal Benefit (GMWB) Contracts
Chapter 15: Wills and Powers of Attorney
- 15.1 Passing on the Estate
- 15.2 Other Factors to Consider when Making a Will
- 15.3 Probate Procedures to Validate a Will
- 15.4 Powers of Attorney and Living Wills (Advance Health Care Directives)
- 15.5 Considerations when Dealing with Vulnerable Clients
Chapter 16: Estate Planning Strategies
- 16.1 Trusts
- 16.2 Taxation
- 16.3 General Issues to Consider for Estate Planning
Chapter 17: Investment Management Today
- 17.1 Fintech
- 17.2 Robo-Advisory Services
- 17.3 Smart Beta ETFs
- 17.4 Responsible Investment
Chapter 18: Investment Management
- 18.1 Steps in the Portfolio Management Process
- 18.2 Individual Securities or Managed Products?
- 18.3 Portfolio Theory
- 18.4 International Investing
Chapter 19: Asset Allocation
- 19.1 The Asset Allocation Process
- 19.2 Issues in Asset Allocation
- 19.3 Strategic Asset Allocation
- 19.4 Rebalancing
- 19.5 Tactical Asset Allocation
Chapter 20: Equity Securities
- 20.1 Characteristics of Equity Securities
- 20.2 Equity Markets
- 20.3 Introduction to Equity Analysis
- 20.4 Industry Analysis
- 20.5 Company Analysis and Equity Valuation
- 20.6 Technical Analysis
- 20.7 Equity Strategy
Chapter 21: Debt Securities: Characteristics, Risks, Trading, and Yield Curves
- 21.1 Characteristics of Debt Securities
- 21.2 Types of Debt Securities
- 21.3 Risks of Debt Securities
- 21.4 Debt Market Trading Mechanics
- 21.5 The Term Structure of Interest Rates
Chapter 22: Debt Securities: Pricing, Volatility and Strategies
- 22.1 Bond Market Pricing
- 22.2 Bond Price Volatility
- 22.3 Debt Security Strategies
Chapter 23: Managed Products
- 23.1 The Role of Managed Products in Investment Management
- 23.2 Mutual Funds
- 23.3 Wrap Products
- 23.4 Exchange-Traded Funds (ETFs)
- 23.5 Hedge Funds
- 23.6 Fees, Portfolio Turnover, and Taxes
- 23.7 Overlay Management
- 23.8 Outcome-Based Investments
Chapter 24: Portfolio Monitoring and Performance Evaluation
- 24.1 Portfolio Monitoring
- 24.2 Portfolio Performance Evaluation

Chapter 18: Investment Management

In this section

Steps in the Portfolio Management Process for Canadian Investors
Learn the critical steps in constructing, monitoring, and optimizing Canadian portfolios—covering investment policies, asset allocation, security selection, and ongoing rebalancing.
Individual Securities or Managed Products?
Explore the benefits, drawbacks, regulatory considerations, and practical guidance on choosing between investing directly in individual securities or using managed products, with a focus on the Canadian wealth management landscape.
Portfolio Theory
A Comprehensive Exploration of Modern Portfolio Theory, CAPM, Diversification, and Real-World Integration for Canadian Investors
International Investing
Explore how Canadian investors can benefit from global diversification, understand cross-border risks, and learn strategies for building and monitoring internationally focused portfolios.

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