Shannon Mellor on LinkedIn: Investment Funds in Canada (IFC) was issued by Canadian Securities… (2024)

Thrilled to announce the successful completion of the Canadian Securities Course certification! 🎓📈 Equipped with comprehensive knowledge in the world of securities and investments. Ready to embark on new opportunities and contribute to the dynamic world of finance. #CanadianSecuritiesCourse #InvestmentKnowledge #FinanceJourney

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View my verified achievement from Canadian Securities Institute.The Canadian Securities Course is an exam conducted by the Canadian Securities Institute (CSI) for individuals interested in trading securities or providing investment advice.Successful completion of the program and exam permit to work in the Canadian securities industry to sell and trade mutual funds, exchange-traded funds (ETFs), stocks, and fixed income assets. Subjects covered in the exam include:The Canadian Investment MarketplaceThe EconomyFeatures and Types of Fixed-Income SecuritiesPricing and Trading of Fixed-Income SecuritiesCommon and Preferred SharesEquity TransactionsDerivativesFinancing and Listing SecuritiesCorporations and Their Financial StatementsFundamental and Technical AnalysisCompany AnalysisIntroduction to the Portfolio ApproachThe Portfolio Management ProcessMutual FundsSegregated and Hedge FundsOther Managed and Structured ProductsCanadian TaxationWorking with the Retail ClientWorking with the Institutional Client

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View my verified achievement from Canadian Securities Institute. In a complex and evolving financial landscape, professionals must stay knowledgeable and compliant with the changing rules and regulations as laid out by the provincial securities administrators and the Canadian Investment Regulatory Organization (CIRO). The Conduct and Practices Handbook Course (CPH®) helps demystify the regulatory environment, providing you with a clear and current understanding of the rules, regulations, practices and ethics that will guide you through your career as an investment advisor or representative.

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Generally, anyone selling securities, offering investment advice or acting as an investment fund manager in Canada must register with their provincial or territorial securities regulator. When you check registration through the Canadian Securities Administrators (CSA) National Registration Search, you will see the category or categories that the firm, dealer or advisor is registered in. There are 3 types of licenses that advisors get when they are giving securities advice. This is how CSA categories. 1.Dealing representative A salesperson – what they can sell depends on the firm they work for and their registration. It can be a mutual fund deader and investment dealer. The advisors are commonly known as MFDA-licensed or IIROC-licensed. However, they are consolidating in the coming years. 2.Associate advising representative A representative who provides advice under the supervision of an advising representative.3.Advising representative A person, like a financial advisor, who provides investment advice to clients. They can manage your investment portfolio according to your instructions and can make decisions and trade securities on your behalf. This license is commonly but incorrectly used as "Portfolio Manager". #securitieslicense #csa #nextgenfp

I'm thrilled to share with my LinkedIn network that I've successfully completed the Canadian Securities Course (CSC)This journey was an incredible learning experience, and I'm proud to have achieved this significant milestone. The CSC program has equipped me with a deeper understanding of the Canadian financial industry and has expanded my knowledge in securities and investments.#CSCcompletion #Finance #Investments #ProfessionalGrowth

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EXCERPTS: China’s securities regulator plans to convene a meeting with some of the world’s biggest asset managers, its latest attempt to shore up confidence after a record stretch of outflows by foreign funds.Fang Xinghai, a vice chairman of the China Securities Regulatory Commission, will host the meeting scheduled to take place in Hong Kong, people familiar with the matter said, asking not to be identified discussing private information. Fidelity International Ltd. and Goldman Sachs Group Inc. are among those invited.China has long relied on large domestic investors to support markets during volatile times, but is now stepping up efforts to influence some of the biggest global funds. The meeting comes one day after a seminar with some of China’s largest institutional investors where the regulator urged the state pension fund, large banks and insurers to increase stock investments.COMMENTS: I have a huge amount of respect for Fang Xinghai, for over the past 10 years and well before his current position. In person he is even more impressive. I truly believe there is no better person for this role and much more.And the CSRC has had sincere respect for foreign fund managers and their fundamental/cash flow styles versus too many local punters. We knew this as UBS increased their QFII (QFI) quota and their feedback.But China faces an existential problem. No, not the debt crisis and other related noise, hype. It's that few in Beijing have ever cracked open a book on modern economics.

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📢 Attention!!! European Securities and Markets Authority (ESMA) - the EU’s financial markets regulator and supervisor, published asupervisory briefingon understanding the definition of advice under MiFID II. 📑https://lnkd.in/eRZPXEdcThe guidance is particularly relevant to investment firms, credit institutions, UCITS management companies, and Alternative Investment Fund Managers (AIFMs) engaged in providing investment advice to clients.This guidance document focuses on key tests for investment advice andoutlines the supervisory expectations for firms operating under MiFID II. It covers various critical elements including; ⚡ whether a service qualifies as a recommendation, ⚡whether the recommendation pertains to one or multiple financial instrument transactions, ⚡whether the recommendation is presented as suitable, and ⚡whether it considers the individual's circ*mstances.Moreover, the document also addresses factors such as;⚡whether the recommendation is exclusively targeted to the public and ⚡whether it is made to a person in their capacity as an investor or potential investor. 📌Important Note: The document is intended to provide guidance. It does not introduce new policies nor advocate for specific supervisory approaches. Instead, it aims to promote a better understanding of the rules and ensure the provision of appropriate investment advice. Stay informed and stay compliant! 💡📚💼. #MiFIDII #InvestmentAdvice #RegulatoryCompliance #ESMA #FinancialServices |The Investment Association |ALFI - Association of the Luxembourg Fund Industry

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🎓 Celebrating a Milestone: Canadian Securities Course licensed! 🚀Hello #LinkedInCommunity,I'm excited to share a significant achievement on my journey of continuous learning and personal growth! 🌟 I'm thrilled to announce that I have successfully completed the Canadian Securities Course (CSC), a rigorous and comprehensive program that has broadened my horizons in the world of finance and investment.This accomplishment holds a special place in my heart as it signifies the dedication, hard work, and perseverance that went into conquering this challenge. 📚 Alongside pursuing my Business Management Diploma at Humber, I embarked on this educational adventure to expand my skill set and deepen my understanding of the financial landscape.📈 The CSC is more than just a certification; it's a gateway to unlocking opportunities in the dynamic Canadian banking and mutual funds sector. This license is a testament to a strong foundation in financial products, services, and regulations that play a pivotal role in shaping the industry. Having acquired an in-depth knowledge of investment strategies, ethics, and regulatory practices, I am well-prepared to contribute meaningfully to this sector.💡 The intersection of my business management knowledge with the insights gained from the Canadian Securities Course equips me with a unique and powerful skill set. This combination not only enhances my versatility but also positions me to thrive in a field where understanding the intricacies of banking operations and mutual fund management is paramount.Understanding the importance of the Canadian Securities Course in the realm of banking and mutual funds, I am excited to leverage this achievement to make a positive impact in the industry. This journey wouldn't have been possible without the support of my professors, mentors, classmates, and my incredible network. Your unwavering encouragement kept me motivated and inspired to push my boundaries.Thank you, #LinkedInFamily, for being a part of my network. I look forward to new opportunities, collaborations, and endeavors that this achievement opens up.Here's to embracing continuous learning and reaching new heights together! 🎉#AchievementUnlocked #ContinuousLearning #PersonalGrowth #FinanceJourney

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AFME and The Investment Association have jointly published the latest version of the Equities Electronic Order Handling Questionnaire, which establishes a common framework for European buy-side clients to request information from electronic trading providers in European equity markets. TheQuestionnaire ensures the fair and accurate sharing of information on the operation of electronic trading practices between investors and their broker-dealers. Through this process, the questionnaire enables market participants to conduct safe algorithmic trading with minimal regulatory risk, allowing them to deliver the best results for investors.The scope of theQuestionnaire is limited to equity/equity-like European Economic Area (EEA) and UK securities which are traded through a firm based in the EEA or the UK that is a regulated under MiFID II and associated national laws, in the EEA and UK unless otherwise specified. You can download theQuestionnaire here: https://bit.ly/3vfg9KA

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The Securities Investors Association of Cambodia (SIAC) has been officially inaugurated to attract more investors and enhance human resource capabilities within the Cambodian securities sector. The newly formed group, consisting of investors active in the sector, offers educational programs on various financial topics such as securities trading, IPOs, bonds, and digital assets under the supervision of the Securities and Exchange Regulator of Cambodia (SERC). SIAC's director-general, Sou Socheat, referred to the establishment of SIAC as a landmark event for Cambodia's financial sector, highlighting its responsibilities, including representing its members in trading-related matters, ensuring legal protection, and contributing to market growth in cooperation with the regulatory body and other relevant entities. By February 2024, SERC had issued 48,477 investor identification numbers and authorized approximately 130 companies to operate within the sector. To know more, visit- https://zurl.co/HMJb #SIAC #CambodiaSecurities #InvestorEducation #FinancialSector #SERC #MarketGrowth #IPOs #DigitalAssets #SecuritiesTrading #CambodianMarket #InvestmentGrowth #TheBetterCambodia #Cambodia

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