RFC125- Final Exam Guide - Comprehensive Notes for the exam ( 174 pages long!)
30 Nov 2017
School
Professor
Document Summary
Whatever he is teaching, but they write the exam not him: characteristics of capital (this case money), chapter 1, 1. Se(cid:374)siti(cid:448)e to it"s e(cid:374)(cid:448)iro(cid:374)(cid:373)e(cid:374)t: i(cid:374) the desert you (cid:272)a(cid:374)"t use (cid:373)o(cid:374)ey to (cid:271)uy (cid:449)ater, war, government, 3. If the environment (india, russia, china) is corrupt it is harder to invest; people will take the risk for the better return. Rfc125 sept 16 week 2 class 2: o(cid:374)tario"s security co(cid:373)(cid:373)issio(cid:374) = osc, self regulatory organization = sro. Investment industry regulatory organization of canada (iiroc: brokerage industry, self regulatory organization = sro, middle man, 1. Trade on your behalf: buyer and seller, acting as an agent, they make commission, 2. Act as a principal: mutual fund dealers association = (mfda) Canadian deposit insurance corporation (cdic: only up to ,000. Canadian investment protection fund (cipf) = page 25: up to ,000,000, brokerage for investments. Secondary market: market maker, making the market, making the liquidity, making the activities.
