Canadian Investment Funds Course Printed Text PDF
Preview Canadian Investment Funds Course Printed Text
How to Study for the Canadian Investment Funds Course .................................................................... v
Unit 1: Regulatory Environment .......................................................................................................... 7
Lesson 1: Regulatory Bodies ....................................................................................................................... 7
Lesson 2: Regulations ................................................................................................................................ 13
Unit 2: Registrant Responsibilities ..................................................................................................... 21
Lesson 1: Ethics ......................................................................................................................................... 21
Lesson 2: Compliance ................................................................................................................................ 24
Lesson 3: Compliance Issues ..................................................................................................................... 29
Lesson 4: Registration Requirements ....................................................................................................... 38
Unit 3: Suitability .............................................................................................................................. 45
Lesson 1: Strategic Investment Planning .................................................................................................. 45
Lesson 2: Suitability Requirement ............................................................................................................ 49
Lesson 3: Know Your Client (KYC) ............................................................................................................. 51
Lesson 4: Know Your Product (KYP) .......................................................................................................... 59
Lesson 5: Assessing Suitability .................................................................................................................. 61
Unit 4: Economic Factors and Financial Markets ................................................................................ 67
Lesson 1: Economic Factors ...................................................................................................................... 67
Lesson 2: Financial Markets ...................................................................................................................... 72
Lesson 3: Canada's Financial System ........................................................................................................ 76
Unit 5: Types of Investments ............................................................................................................. 81
Lesson 1: Building Blocks of Mutual Funds ............................................................................................... 81
Lesson 2: Fixed Income Securities ............................................................................................................ 85
Lesson 3: Bonds ......................................................................................................................................... 90
Lesson 4: Equities .................................................................................................................................... 102
Lesson 5: Derivatives............................................................................................................................... 108
Unit 6: Types of Mutual Funds ......................................................................................................... 113
Lesson 1: Introduction to Mutual Funds ................................................................................................. 113
Lesson 2: Mutual Fund Categories .......................................................................................................... 116
Lesson 3: Conservative Mutual Funds .................................................................................................... 119
Lesson 4: Growth-oriented Mutual Funds .............................................................................................. 125
Lesson 5: Competitive Products.............................................................................................................. 134
Unit 7: Portfolio Management ......................................................................................................... 139
Lesson 1: The Portfolio Manager ............................................................................................................ 139
Lesson 2: Financial Analysis .................................................................................................................... 147
Lesson 3: Mutual Fund Performance and Risk ....................................................................................... 152
Unit 8: Mutual Funds Administration ............................................................................................... 163
Lesson 1: Mutual Fund Organization ...................................................................................................... 163
Lesson 2: Purchasing Mutual Funds ........................................................................................................ 168
Lesson 3: Redeeming Mutual Funds ....................................................................................................... 172
Lesson 4: Fee Structure ........................................................................................................................... 177
Lesson 5: Disclosure ................................................................................................................................ 186
Lesson 6: Account Types ......................................................................................................................... 191
Unit 9: Retirement .......................................................................................................................... 199
Lesson 1: Government and Employer Plans ........................................................................................... 199
Lesson 2: Registered Retirement Savings Plans ...................................................................................... 215
Lesson 3: Withdrawing from RRSPs ........................................................................................................ 225
Lesson 4: Locked-In Accounts ................................................................................................................. 235
Unit 10: Taxation ............................................................................................................................. 239
Lesson 1: Canadian Tax System .............................................................................................................. 239
Lesson 2: Taxation of Investment Income .............................................................................................. 250
Lesson 3: Taxation of Mutual Funds ....................................................................................................... 256
Unit 11: Making Recommendations ................................................................................................. 263
Lesson 1: Evaluating the Client ............................................................................................................... 263
Lesson 2: Selecting Mutual Funds ........................................................................................................... 270
Lesson 3: Asset Allocation ....................................................................................................................... 272
Lesson 4: Tax Efficient Strategies ............................................................................................................ 277
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