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Study sets matching "canadian securities institute"

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Study sets matching "canadian securities institute"

12 terms
Canadian Government Institutions
representative of the monarchy - federal
representative of the monarchy - provi…
leader of the government and party in…
leader of the government and party in…
governor - general
lieutenant - governor
prime minister
premier
representative of the monarchy - federal
governor - general
representative of the monarchy - provi…
lieutenant - governor
12 terms
Canadian Securities Industry
Agent
Broker
CDS Clearing and Depository Services
Clearing
an investment dealer operates as an agent when it acts on beh…
an investment dealer or a duly registered individual that is…
CDS provides customers with physical and electronic facilitie…
the process of confirming and matching security trade details
Agent
an investment dealer operates as an agent when it acts on beh…
Broker
an investment dealer or a duly registered individual that is…
85 terms
Chapter 2: The Canadian Securities Industry
L.O. Summarize the state of the Canadi…
L.O. Distinguish among the three categ…
L.O. Describe the roles of the charter…
L.O. Describe the roles of trust compa…
...
...
...
...
L.O. Summarize the state of the Canadi…
...
L.O. Distinguish among the three categ…
...
11 terms
Chapter 2 - The Canadian Securities Industry
Agent
Canadian Depository for Securities (CDS)
Closed-End Funds
Demutualization
An individual or firm that places securities transactions for…
Canada's national securities depository, clearing and settlem…
A publicly traded investment company that raises a fixed amou…
The process by which a customer-owned mutual organization (mu…
Agent
An individual or firm that places securities transactions for…
Canadian Depository for Securities (CDS)
Canada's national securities depository, clearing and settlem…
19 terms
Canadian Securities Course Vol. 1 (Chap. 7)
accured interest
bearer bonds
buy-side
Canadian Depository for Securities Lim…
interest accumulated on a bond or debenture since the last in…
owner's name is not recorded in books of issuing company nor…
retail and institutional investors, since they are the buyers…
allows customers to report, confirm and settle securities tra…
accured interest
interest accumulated on a bond or debenture since the last in…
bearer bonds
owner's name is not recorded in books of issuing company nor…
34 terms
Canadian Securities Course Vol. 1 (Chap. 8)
arrears
callable preferreds
Canadian Depository for Securities Lim…
Capital gain
interest or dividends that were not paid when due but are sti…
can be redeemed by issuer at stated time and at stated price.
computer-based systems to replace certificates as evidence of…
selling security for more than its purchase price. For non-re…
arrears
interest or dividends that were not paid when due but are sti…
callable preferreds
can be redeemed by issuer at stated time and at stated price.
20 terms
Canadian Securities Course (Vol. 1 Chap. 2)
Role of investment dealers
Integrated (investment dealers)
Institutional
Retail investors
1. Help transfer capital by bringing together suppliers and u…
Services to both institutional and retail clients.
Offer services to institutional clients such as mutual funds,…
Full-service firms may offer advice, portfolio management ser…
Role of investment dealers
1. Help transfer capital by bringing together suppliers and u…
Integrated (investment dealers)
Services to both institutional and retail clients.
61 terms
Professional Security Institute 16Hr
When describing an emergency you should:
When answering the phone you should
Which is not a means of establishing g…
Public Relations is a required field f…
Use as few words as possible
Identify yourself
Showing how important you are by flashing your badge
Security Officers should be able to speak with certainty to t…
When describing an emergency you should:
Use as few words as possible
When answering the phone you should
Identify yourself
41 terms
Canadian Securities Course Vol. 1 (Chap. 6)
Fixed-income securities
Rationale for issuing fixed income sec…
Bond
Debenture
debt of issuing entity. Includes a promise by the issuer to r…
1. To finance operations or growth (for comp to expand curren…
fixed-income securities b/c they impose fixed financial oblig…
(unsecured bonds) promises payment of regular interest and re…
Fixed-income securities
debt of issuing entity. Includes a promise by the issuer to r…
Rationale for issuing fixed income sec…
1. To finance operations or growth (for comp to expand curren…
76 terms
Professional Security Institute 24Hr
The security officer is responsible fo…
Over our supervisors in clients expect…
Three conditions which create crime ex…
The process by which an organization d…
People ... Property ... Information
Reasonable
Lack of authority
Risk management
The security officer is responsible fo…
People ... Property ... Information
Over our supervisors in clients expect…
Reasonable
43 terms
Understanding money and Canadian financial institutions
Bank rate
Bear market
Bond ratings
Bonds
The interest rate that the Bank of Canada charges on one-day…
Markets in which securities prices are falling
Letter grades assigned to bond issues to indicate their quali…
Securities that represent long-term debt obligations (liabili…
Bank rate
The interest rate that the Bank of Canada charges on one-day…
Bear market
Markets in which securities prices are falling
23 terms
Security 348 - Security of Financial Institutions
Bank Protection act of 1968
3 physical requirements of Bank Protec…
ATM Security act
Requirements of ATM security act
To discourage robberies, burglaries, and larcenies against fi…
1. Lighting... 2.training... 3.alarms... 4. Locks (deadbolts)... 5. CCTV…
To prevent ATM robberies.
1. Plated glass... 2. Footcandles (10ft)... 3. Access control on do…
Bank Protection act of 1968
To discourage robberies, burglaries, and larcenies against fi…
3 physical requirements of Bank Protec…
1. Lighting... 2.training... 3.alarms... 4. Locks (deadbolts)... 5. CCTV…
39 terms
Module 2 - The Canadian Securities Industry
What is another name for securities co…
What does SRO stand for?
Who is responsible for establishing an…
Which groups are responsible for setti…
Securities administrators
Self-regulatory Organization
SROs
SROs
What is another name for securities co…
Securities administrators
What does SRO stand for?
Self-regulatory Organization
16 terms
Freedom, Security, and Justice Institutions
European Police College (CEPOL)
EUROJUST
European Agency for the Management of…
European Union Asylum Support (EASO)
Organizes conferences and seminars IOT facilitate/improve kno…
-The Hague... -EU response to 9/11 which seeks to coordinate the…
-Euro border guard teams... -Intelligence and risk analysis... -Fol…
-Develop quality training, and country of origin info... -Specia…
European Police College (CEPOL)
Organizes conferences and seminars IOT facilitate/improve kno…
EUROJUST
-The Hague... -EU response to 9/11 which seeks to coordinate the…
Institutions and International Security
What are institutions good for?
When are institutions useful?
When are institutions not useful?
Institutions and IR: What is at stake?
1) Overcoming risk and reaping gains from trade (#1 belief)... 2…
1) Positive sum conflict... --Situation in which 2 or more parti…
1) "Zero-sum conflict"... --one party wins, one party loses... --si…
1) Re: political economy... --Identifying and realizing gains fr…
What are institutions good for?
1) Overcoming risk and reaping gains from trade (#1 belief)... 2…
When are institutions useful?
1) Positive sum conflict... --Situation in which 2 or more parti…
16 terms
INSTITUTIONAL SECURITY CORE 3120
CORE 3120.01 ... Identify goals of instit…
CORE 3120.02... Identify rules for good k…
CONT.... CORE 3120.02... Identify rules for…
CORE 3120.03 ... Identify the problems th…
-Protect the public... -Protect staff... -Protect and habilitate in…
-Never let inmates handle keys... -Counting of keys... -Checking ke…
-Don't carry keys for inside and outside doors on the same ke…
-Prevention of quick and easy access to area... -Locks jam and d…
CORE 3120.01 ... Identify goals of instit…
-Protect the public... -Protect staff... -Protect and habilitate in…
CORE 3120.02... Identify rules for good k…
-Never let inmates handle keys... -Counting of keys... -Checking ke…
5 terms
Interwar Period: Security Institutions
Realism
Liberalism
Liberal Institutionalism
How to ameliorate cheating?
world is gloomy, depressing place ... great powers... international…
-conflict is not inevitable... -coop is possible and sustainable…
impediment to cooperation is fear of cheating
-give info ... -assign responsibilities... -inc costs of cheating
Realism
world is gloomy, depressing place ... great powers... international…
Liberalism
-conflict is not inevitable... -coop is possible and sustainable…
17 terms
LEC 3 Canadian Patient Safety Institute
Key priority
Competencies
Origins
Framework Development (p.10)
- To identify leading practices and effective interventions i…
- in 6 domains... - 23 key competencies... - 140 enabling competenc…
- the CPSI set out to develop a simple, powerful, and flexibl…
the framework project
Key priority
- To identify leading practices and effective interventions i…
Competencies
- in 6 domains... - 23 key competencies... - 140 enabling competenc…
17 terms
Organization for Security and Cooperation in Europe- Institutions
Institutions 1
Institutions 2
Institutions 3
Institutions 4
The OSCE main HQ is based in Vienna
The OSCE has a Parliamentary Assembly, High Commissioner for…
Chairmanship of the OSCE is held for 1 year
Political direction is given by heads of states
Institutions 1
The OSCE main HQ is based in Vienna
Institutions 2
The OSCE has a Parliamentary Assembly, High Commissioner for…
45 terms
CSC Module #2: The Canadian Securities Industry
What are self-regulatory organizations…
What are financial intermediaries?
What are the 3 roles of financial inte…
Who are investment dealers? What are t…
An organization recognized by the Securities Administrators a…
The term "intermediary" is used to describe any organization…
dealers, principals, and agents
Investment dealers are those that engage in the business of t…
What are self-regulatory organizations…
An organization recognized by the Securities Administrators a…
What are financial intermediaries?
The term "intermediary" is used to describe any organization…
23 terms
Canadian Securities Course Vol. 1 (Chap. 7)
discount rate
duration
expectations theory
inter-dealer broker
...
...
...
...
discount rate
...
duration
...
39 terms
Assuring Safety and Security and HC Institution
What does OSHA regulate?
What does the EPA regulate?
What does TJC regulate?
What are the the two types of inspecti…
Activities within the building
Materials and activities external to the building
Issues standards/requirements related to occupational exposures
Unprogrammed scheduling group (only when incident occurs) ... Pr…
What does OSHA regulate?
Activities within the building
What does the EPA regulate?
Materials and activities external to the building
(Miller) International Security Lecture 10 - International Institutions
Early International Institutions
NATO
Why institutions?
Collective Security
starts in 19th century - regulate trade, communications, rail…
Today NATO's roles include joint military commands, joint doc…
fairness... lower transaction costs... transparency ... efficiency... inf…
making an alliance is hard and expensive, let's only do it on…
Early International Institutions
starts in 19th century - regulate trade, communications, rail…
NATO
Today NATO's roles include joint military commands, joint doc…
23 terms
Series 63 - Vid 3 - Regulation of securities and issuers, Canadian broker-dealers, registration of investment advisers and investment adviser representatives
Regulation of Securities of Issuers -…
According to the USA, securities can be:
Agents of Issues do not have to regist…
When does a Canadian BD need to regist…
-Corporation... -Government... -Nonprofit
Exempt - security that is exempt from registration requiremen…
-They sell securities that are exempt: (treasury or municipal…
-Canadian BD's must register with the state if they have an o…
Regulation of Securities of Issuers -…
-Corporation... -Government... -Nonprofit
According to the USA, securities can be:
Exempt - security that is exempt from registration requiremen…
27 terms
Securities
Banks
Investment Company
Exchange Traded Stock
Equipment Trust Certificate
Federally covered Exempt security
Federally covered Exempt security
Federally covered Exempt security
Exempt Security
Banks
Federally covered Exempt security
Investment Company
Federally covered Exempt security
15 terms
Financial Management & Securities Markets Chapter 16
Working capital Management
Marketable securities
Treasury Bills
CDs
The difference between current assets and current liabilities
Temporary investment by a firm of "extra" cash for up to 1 year
Short-term debt obligations by the US Government. The US sell…
IOUs by banks to customers
Working capital Management
The difference between current assets and current liabilities
Marketable securities
Temporary investment by a firm of "extra" cash for up to 1 year
20 terms
Securities -
prospectus
investment advisor
Securities Exchange Act of 1934
Regulate D
summary of the Registration Statement filed with the SEC
anyone who prepares and sells research reports for a fee
regulates brokers, dealers, agents, and the stock exchange
prohibits any advertising of private placements
prospectus
summary of the Registration Statement filed with the SEC
investment advisor
anyone who prepares and sells research reports for a fee
138 terms
Securities Mid Term Prep
Risks associated with a non-regulated…
**Securities law is primarily concerne…
What is the purpose of Securities Law?
Securities regulation aims to:
investors were vulnerable to bad investment opportunities, lo…
the sale of securities of companies that list on a STOCK EXCH…
to ensure that participants act honestly and that buyers and…
protect investors and the integrity of securities markets
Risks associated with a non-regulated…
investors were vulnerable to bad investment opportunities, lo…
**Securities law is primarily concerne…
the sale of securities of companies that list on a STOCK EXCH…
31 terms
The Canadian Investment Marketplace - Ch. 1
Alternative trading systems (ATSs)
Auction market
Canadian Securities Exchange (CSE)
Canadian Unlisted Board Inc. (CUB)
Privately-owned computerized networks that match orders for s…
Market in which securities are bought and sold by brokers act…
Launched in 2003 as an alternative marketplace for trading eq…
An Internet web-based system for investment dealers to report…
Alternative trading systems (ATSs)
Privately-owned computerized networks that match orders for s…
Auction market
Market in which securities are bought and sold by brokers act…
3.2: Highlights of Canadian History
Vikings
Leif Ericson
Christopher Columbus
John Cabot
fierce warriors that lived on the Scandinavian Peninsula of N…
Viking who discovered the North American continent around A.D…
in 1492, the first modern explorer to discover the New World
the first modern explorer to reach the North American mainlan…
Vikings
fierce warriors that lived on the Scandinavian Peninsula of N…
Leif Ericson
Viking who discovered the North American continent around A.D…
67 terms
Chapter 37: Securities Regulation
Securities Act of 1933
Securities Exchange Act of 1934
SEC Creates Law 3 Ways
Rules
Congress passed this act to regulate the issuance of new secu…
Regulated companies with publicly traded securities. Establis…
Rules, Releases, No-Action Letters
The securities statutes are often little more than general gu…
Securities Act of 1933
Congress passed this act to regulate the issuance of new secu…
Securities Exchange Act of 1934
Regulated companies with publicly traded securities. Establis…
25 terms
Chapter 3 - The Canadian Regulatory Environment
Arbitration
Autorité des marchés financières (AMF)
Beneficial owner
Canada deposit insurance corporation (…
An informal hearing regarding a dispute.
The body mandated by the government of Quebec to regulate the…
A person who enjoys the benefits of ownership even though tit…
A crown corporation owned by the Canadian government that ins…
Arbitration
An informal hearing regarding a dispute.
Autorité des marchés financières (AMF)
The body mandated by the government of Quebec to regulate the…
31 terms
CS 25 Canadian Government Handout vocabulary 1
complicated
basis
principles
inherit
Complex, (adj.) hard to understand; elaborate; complex; intri…
the reason, or the source of something
Basic beliefs, rules, or laws
to receive something from the people before
complicated
Complex, (adj.) hard to understand; elaborate; complex; intri…
basis
the reason, or the source of something
23 terms
The Canadian Census
census (n.)
Census of Population
enumeration (n.)
enumerator (n.)
a collection of information from every household in a country…
an enumeration of every household and person in Canada, done…
the completion of a census questionnaire at home
a person who contacts households that have not returned the c…
census (n.)
a collection of information from every household in a country…
Census of Population
an enumeration of every household and person in Canada, done…
11 terms
CSC: Chapter 25 - Canadian Taxation
Superficial Loss
Registered Pension Plan
Registered Retirement Savings Plan
Single Vendor RRSP
This occurs when securities sold at a loss are repurchased wi…
A trust registered with CRA, which is established by a compan…
Annual contributions to this plan are tax-deductible up to al…
Type of RRSP where the holder invests in one or more of a var…
Superficial Loss
This occurs when securities sold at a loss are repurchased wi…
Registered Pension Plan
A trust registered with CRA, which is established by a compan…
35 terms
Chapter 4 - Securities
FINRA rule 2210
Institutional Communication
Retail Communication
Correspondence
Governing communication with the public defining many new ter…
Written communication available to institutional investors -…
Written communication made available to more than 25 retail c…
25 + people within 30 calendar days. Non-industrial investors…
FINRA rule 2210
Governing communication with the public defining many new ter…
Institutional Communication
Written communication available to institutional investors -…
20 terms
Securities
The SEC creates law in three different…
Security
Exempt securities
Intrastate offering exemption
1. Rules... 2. Releases... 3. No-Action letters
Any transaction in which the buyer invests money into a commo…
Government securities... bank securities... short term notes... non pr…
an issuer is not required to register securities that are off…
The SEC creates law in three different…
1. Rules... 2. Releases... 3. No-Action letters
Security
Any transaction in which the buyer invests money into a commo…
12 terms
Canadian Citizenship
Bill C-24
residency
eligibility
intend to reside
An Act to amend the Citizenship Act and to make consequential…
the act of dwelling or living in a place
factors that must be met before receiving benefits.
plan to live in a certain place
Bill C-24
An Act to amend the Citizenship Act and to make consequential…
residency
the act of dwelling or living in a place
22 terms
Securities Markets, Marketing
CASHFLOW
EQUITY
MUTUAL FUNDS
PENSION FUNDS
the money a company receives minus the money it spends during…
part ownership of a company in the form of stocks and shares…
funds operated by investment companies that invest peoples mo…
funds that invest money that will be paid to people after the…
CASHFLOW
the money a company receives minus the money it spends during…
EQUITY
part ownership of a company in the form of stocks and shares…
21 terms
Canadian Democracy Chapter 1
Power
coercion
influence
authority
The ability of person A to get person B to do something perso…
the threat of use of force
ability of A to convince B that a particular action is reason…
the recognition on the part of the compliant party that the p…
Power
The ability of person A to get person B to do something perso…
coercion
the threat of use of force
27 terms
securities
auditing
auditor
bait money
confidentiality procedures
periodic or continuous verification of the institution's asse…
officer of financial institution in charge of all audit funct…
strap of bills assigned to each teller to be given out in cas…
steps taken to make certain that information about a customer…
auditing
periodic or continuous verification of the institution's asse…
auditor
officer of financial institution in charge of all audit funct…
12 terms
CS 25 Canadian Citizenship Pt 4 Charter of Rights and Freedoms
amendment
final say
democratic rights
mobility rights
A change in, or addition to, a constitution or law
makes the final decision on something
Rights to participate in a democratic society, including voti…
to move to and earn a living in any province
amendment
A change in, or addition to, a constitution or law
final say
makes the final decision on something
71 terms
Chapter 11- Financing and Listing Securities
What are the Different Types of Busine…
Sole Proprietorship
A Partnership (two or more persons con…
A Corporation
...
The earnings from a sole proprietorship are taxed at the owne…
is legislated under the Partnership Act and is either a gener…
is owned by the shareholders, is considered to be a unique en…
What are the Different Types of Busine…
...
Sole Proprietorship
The earnings from a sole proprietorship are taxed at the owne…
21 terms
CSC Chapter 3: The Canadian Regulatory Environment
Who is the OSFI?
Who is the CDIC?
Who is the CSA?
What are Self-regulatory organizations?
The office of superintendent of Financial Institutions: looks…
Canada Deposit Insurance Corp: a federal crown corp. that pro…
Canadian Securities Administrators: a forum of the 13 provinc…
(SRO's): private industry organization given right to regulat…
Who is the OSFI?
The office of superintendent of Financial Institutions: looks…
Who is the CDIC?
Canada Deposit Insurance Corp: a federal crown corp. that pro…
38 terms
Canadian FP
Human Security
Middle Power
Ottawa Process
Responsibility to Protect
A people-centered approach that identifies individuals rather…
A state that is not a superpower, or a great power, but still…
The negotiation process that was launched in Ottawa in 1996 a…
The legal and ethical basis for humanitarian intervention by…
Human Security
A people-centered approach that identifies individuals rather…
Middle Power
A state that is not a superpower, or a great power, but still…
27 terms
Securities ch 3
Arbitration
Autoritie des marches financiers
Beneficial owner
Canadian deposit insurance Corporation…
The method of dispute resolution in which an independent arbi…
The body that administers the regulatory framework surroundin…
The real owner of an account, securities, or other assets. Fo…
A federal crown corporation providing deposit insurance again…
Arbitration
The method of dispute resolution in which an independent arbi…
Autoritie des marches financiers
The body that administers the regulatory framework surroundin…
10 terms
Canadian Universities article
significant
prosperity
expenditures
enterprise
important in effect or meaning
wealth or success
spending on goods and services.
business
significant
important in effect or meaning
prosperity
wealth or success
14 terms
The 9 Elements and Security Features of a Cheque
Payor
Cheque Number
Cheque Date
Payee
Payor
Cheque Number
38 terms
CSC 1 Ch 3 (The Canadian Regulatory Environment)
Federal Regulators
Office of the Superintendent of Financ…
Canada Deposit Insurance Corporation (…
Provincial Regulators
- Office of the Superintendent of Financial Institutions (OSF…
Canada Deposit Insurance Corporation (CDIC) is a regulatory b…
Canada Deposit Insurance Corporation (CDIC) is a federal Crow…
In Canada, the regulation of the securities business is a pro…
Federal Regulators
- Office of the Superintendent of Financial Institutions (OSF…
Office of the Superintendent of Financ…
Canada Deposit Insurance Corporation (CDIC) is a regulatory b…
42 terms
Canadian Criminal Law
criminal law
actus reus
mens rea
homicide
law that deals with those wrongdoings or omissions that pose…
a term meaning prohibited act.
a Latin phrase meaning guilty mind; the accused had the inten…
causing the death of a human being
criminal law
law that deals with those wrongdoings or omissions that pose…
actus reus
a term meaning prohibited act.
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