Chapter Outline Flashcards
0
Q
Ch1
B
A
Fiduciary duty
1
Q
Ch1
A
A
Registrant code of ethics
2
Q
Ch2
A
A
General principles of securities regulation
3
Q
Ch2
B
A
Key players involved in securities regulation
4
Q
Ch2
C
A
Self regulatory organizations (SRO’s)
5
Q
Ch2
D
A
The exchanges and marketplaces in canada
6
Q
Ch2
E
A
Designated stock exchanges
7
Q
Ch2
F
A
Dealing with money laundering and terrorist financing in the securities industry
8
Q
Ch2
G
A
Investor protection funds
9
Q
Ch2
H
A
Protection for depositors
10
Q
Ch3
A
A
Types of registration
11
Q
Ch2
B
A
Categories of registration
12
Q
Ch3
C
A
Exemptions from registration
13
Q
Ch3
D
A
Registration of an individual as a registered representative
14
Q
Ch4
A
A
Opening accounts
15
Q
Ch4
B
A
Client records
16
Q
Ch5
A
A
Know your product (KYP) and suitability
17
Q
Ch5
B
A
Rules of conduct
