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

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