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INFO 16029- Final Exam Guide - Comprehensive Notes for the exam ( 116 pages long!)


Department
Faculty of Applied Science & Technology
Course Code
INFO 16029
Professor
Boom
Study Guide
Final

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Sheridan
INFO 16029
FINAL EXAM
STUDY GUIDE

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Finance 17-01-16
Notetakers: Andrea & Monique 1
Finance
Monday, January 16, 2017
Welcome everyone. ) asked the others how their weekend was, how was everyone’s
weekend? Excited to see me? Who was not here last week? Those who were not
here, there are some things to catch up on. Maybe at the break we can gather and
go through it once? That’s alright with everyone?
Today we will do a review of what we’ve learned; ) like to start the class with a
review.
So let’s review. (ow are you getting your grades? One project split into two parts
and three tests worth 25% each. The first part is basically what we are doing today,
you'll get some practice. )t’s worth %. The second part is worth %
How bout my name? Who remembered my name?
S: Krista
T: Krista yes! How do you reach me? Email. I check it in the morning
One thing we didn’t discuss is the different before public and private corporations.
What is the difference?
S: people can invest in your company if it’s public? Like outsiders can buy shares
T: anyone can invest in any corporation, but the public ones are on the stock
exchange. Private corporations (which are more numerous) can have one investor
or it can have many. )t’s just not on a stock exchange.
Intermediary
- move money from those with excess to those with a shortfall
- move money through time
- mitigate risk
Do we have any questions about what we did last week?
SLIDE Week 2: Unit 3 Suitability
Suitability is what we are talking about today. Did anyone complete the quiz? How
was it?
S: Good
S2: Yeah I did it a couple time
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Finance 17-01-16
Notetakers: Andrea & Monique 2
T: if you can be successful with the quizzes you'll probably be successful in the
course
)’d like you to take a look at the lessons prior to the class so you can ask better
questions
SLIDE Unit 3: suitability. What will you learn in this Unit?
SLIDE What is the strategic investment Planning Project (IPP)
We started talking about gathering client data. We mentioned a little bit about
what you might need to know. What questions can we ask to find out what kind of
investor the client is. Any advisor listening to you, they are going to want to clarify.
How long does it take to make up a plan for someone? )t’s a good  hours it’s a
lengthy process. You want someone to clarify.
SLIDE The Suitability Process
The whole process is three parts (reading off slides)
What do you think you need to know about a client?
S: income
T: Yes, very important
S2: personal information like age
S3: their assets
S4: liabilities
T: Yes, their liabilities what they owe
S5: information such as address
S6: if they have kids? If they are married
S7: their plans for the future
S8: how long they’d like to invest for?
T: Yes, and for different investments! What if they want a retirement account and
also want to buy a condo in a couple years?
SLIDE Know Your Client (KYC)
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