Suitability considerations.is customer-based rather than trade-based. In other words, a dealer member is considered to have fulfilled its suitability obligation for a transaction if it has reasonable grounds for concluding that the institutional client is capable of making an independent investment decision and can independently evaluate the investment risk. This is quite different from the appropriateness standard applied to retail accounts because for institutional clients their objectives, risk tolerance and financial situation are not the dealer member’s concern. Six hundred shares of DAM Ltd. Were purchased at $50 per share on Tuesday, April 20 and the client was charged $150 in commission. On the settlement date, Friday, April 23, no payment was made into the account. A statement was mailed as of the last business day of the month, April 30.

Course Information Foran Financial Institute provides courses for those required to pass Canadian financial licensing exams and those working towards financial designations. Whether you are working towards a professional designation like CIM or CFP® or simply interested in learning more about investing, Foran can help.

The account is five business days overdue as of April 30. On April 30, the share price of DAM Ltd. Declined to $46.

The client also owns 200 shares of DEO valued at $25 per share. Both DAM and DEO would be eligible for 50% margin.Using the capital calculation, what would the firm's equity calculation be as April 30? Six hundred shares of DAM Ltd. Were purchased at $50 per share on Tuesday, April 20 and the client was charged $150 in commission.

On the settlement date, Friday, April 23, no payment was made into the account. A statement was mailed as of the last business day of the month, April 30. The account is five business days overdue as of April 30. On April 30, the share price of DAM Ltd. Declined to $46. The client also owns 200 shares of DEO valued at $25 per share. Both DAM and DEO would be eligible for 50% margin.Using the loan value of the weighted market value, what would be the firm's equity calculation after April 30, assuming the same market prices?

Your brother, who is a client of your firm, became Chief Financial Officer (CFO) of EDG, a publicly traded company, 12 months ago. He sang the praises of the company's future potential and had you buy 5,000 shares of the company for his account. You also bought 5,000 shares for your own account and received approval from ten other clients to buy shares for their accounts, on your recommendation.Yesterday your brother called and said he was laid off because the company could not afford him and three other executives. He said the company would be in major financial difficulty in three or four months and could be facing receivership within the year, unless it was bought out, probably at a bargain price.You immediately sell your shares, the shares held by your brother and the shares in your other clients' accounts and you also call a client and suggest he short the shares of EDG.Under what standard do the actions taken in the situation fall? Your brother, who is a client of your firm, became Chief Financial Officer (CFO) of EDG, a publicly-traded company, 12 months ago. He sang the praises of the company's future potential and had you buy 5,000 shares of the company for his account.

You also bought 5,000 shares for your own account and received approval from ten other clients to buy shares for their accounts, on your recommendation.Yesterday your brother called and said he was laid off because the company could not afford him and three other executives. He said the company would be in major financial difficulty in three or four months and could be facing receivership within the year, unless it was bought out, probably at a bargain price.You immediately sell your shares, the shares held by your brother and the shares in your other clients' accounts and you also call a client and suggest he short the shares of EDG.By suggesting a client short sell the stock, in what were you engaging?

Your brother, who is a client of your firm, became Chief Financial Officer (CFO) of EDG, a publicly-traded company, 12 months ago. He sang the praises of the company's future potential and had you buy 5,000 shares of the company for his account. You also bought 5,000 shares for your own account and received approval from ten other clients to buy shares for their accounts, on your recommendation.Yesterday your brother called and said he was laid off because the company could not afford him and three other executives. He said the company would be in major financial difficulty in three or four months and could be facing receivership within the year, unless it was bought out, probably at a bargain price.You immediately sell your shares, the shares held by your brother and the shares in your other clients' accounts and you also call a client and suggest he short the shares of EDG.What type of trading practice most closely applies to the situation, as described?

Your brother, who is a client of your firm, became Chief Financial Officer (CFO) of EDG, a publicly-traded company, 12 months ago. He sang the praises of the company's future potential and had you buy 5,000 shares of the company for his account. You also bought 5,000 shares for your own account and received approval from ten other clients to buy shares for their accounts, on your recommendation.Yesterday your brother called and said he was laid off because the company could not afford him and three other executives. He said the company would be in major financial difficulty in three or four months and could be facing receivership within the year, unless it was bought out, probably at a bargain price.You immediately sell your shares, the shares held by your brother and the shares in your other clients' accounts and you also call a client and suggest he short the shares of EDG.Which causes for loss would the Canadian Investor Protection Fund (CIFP) be responsible? Csc exemption - Professional Financial Planning Course, Wealth ManagementTechniques Course, Investment Management Techniques Course, Wealth ManagementEssential Course, Portfolio Management Techniques Course, or the three levels of theChartered Financial Analyst programme.2. Exemption from re-writing the Derivatives Fundamentals Course - prior two years, of the Futures & Options Licensing Course, or theCanadian Commodity Supervisors Examination.3.

Exemption from re-writing the Wealth Management Essentials Course - the Investment Management Techniques Course, PortfolioManagement Techniques Course, three levels of the Chartered Financial Analyst programmeadministered by the CFA Institute, Professional Financial Planning Course or the WealthManagement Techniques Course. Provides exemptions for the Canadian broker-dealer, its salesmen and the securities they sell toCanadians temporarily present in the state and Canadian self-directed tax advantaged retirementplans, provided that:. The Canadian broker-dealer meets all of the requirements for the “Self-ExecutingExemption Model” (Model No. 1);.

The Canadian broker-dealer discloses to its customers in the state that it is not subject to thefull regulatory requirements of the state’s Blue Sky laws;. The Canadian broker-dealer makes a notice fi ling to claim the exemption; and. No fi ling fees are required to be paid.

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