Cart

CSC Exam Breakdown

  • CSC Exam 1
  • CSC Exam 2

Exam 1

The Canadian Investment Marketplace – 15%

  • Canadian Securities Industry
    • Overview of the Industry
    • Investment Dealer’s Role as a Financial Intermediary
    • Other Financial Intermediaries
    • Trends in the Market
  • The Capital Markets
    • Capital
    • Products
    • Markets
  • The Canadian Regulatory Environment
    • Regulators
    • Regulation and Supervision
    • Remediation
    • Ethics

The Economy – 13%

  • Economics
    • Definition
    • Economic Growth
    • Business Cycle
    • Labour Markets
    • Interest Rates
    • Inflation
    • Trade and International Finance
  • Policy
    • Central Bank
    • Monetary Policy
    • Fiscal Policy

Products – 56%

  • Fixed-Income Securities
    • Bond Marketplace
    • Features and Terminology
    • Government Issued Securities
    • Provincial and Municipal Bonds
    • Corporate Bonds
    • Other Securities
    • Pricing and Yield
    • Term Structures
    • Trading
    • Indexes
  • Equity Securities
    • Common Stocks
    • Preferred Securities
    • Indexes and Averages
    • Cash vs. Margin Portfolios
    • Margin Transactions
    • Trading and Settlement
    • Buying and Selling
  • Derivatives
    • Role and Use of Derivatives
    • Underlying Assets
    • Options
    • Forwards and Futures
    • Rights and Warrants

Corporations and their Financial Statements – 16%

  • Financial
    • Corporate Structure
    • Financial Statements
    • Annual Filings
    • Corporate Disclosures
    • Use of Derivatives
    • Mergers, Acquisitions, and Insider Trading
  • Financing and Listing
    • Corporate Finance
    • Going Public
    • Methods of Distributing Securities to the Public
    • Listings

Exam 2

Investment Analysis – 18%

  • Fundamental and Technical Analysis
    • Equity
    • Macroeconomic
    • Industry
  • Company Analysis
    • Analyzing Financial Statements
    • Assessing the Quality of Preferred Shares
    • Corporate Finance
    • Going Public
    • Methods of Distributing Securities to the Public
    • Listings

 

Portfolio Analysis – 18%

  • Portfolio Management
    • Risk and Return
    • Portfolio Management Styles
    • Portfolio Management Process
    • Objectives and Constraints
    • Investment Policy Statement (IPS)
    • Asset Mix
    • Securities
    • Client, Market, and the Economy
    • Portfolio Performance
    • Rebalancing

Managed and Structured Products – 40%

  • Mutual Funds
    • Pricing
    • Regulation
    • Forms and Requirements
    • KYC Rules
    • Opening and Updating Client Accounts
    • Types of Funds
    • Management Styles
    • Redemptions
    • Measuring Performance
  • ETFs
    • Regulation and Structure
    • Important Features
    • Types
    • Risks
    • Taxation implications
    • Investment Strategies
    • Other Related Products
  • Alternatives
    • Benefits and Risks
    • Structures
    • Alt Mutual Funds vs. Conventional Funds
    • Investment Strategies
    • Performance
    • Due Diligence and Suitability Requirements
  • Additional Managed Products
    • Segregated Funds
    • Labour-Sponsored Venture Capital Corporations
    • Closed-End Funds
    • Income Trusts
    • Private Equity (Listed)
    • Hedge Funds
  • Structured Instruments
    • PPNs
    • GICs (Market-Linked)
    • Split Shares
    • Asset-Backed Securities

Working with the Client – 24%

  • Canadian Taxation
    • Capital Gains and Losses
    • Tax Deferral and Tax-Free Plans
    • Tax Planning
  • Fee-Based Accounts
    • Managed Accounts
    • Non-Managed Accounts
  • The Retail Client
    • Financial Planning Approach
    • Life-cycle Hypothesis
    • Ethics and Conduct
  • The Institutional Client
    • The Sell Side and the Buy Side of the Market
    • The Responsibilities of a Buy-Side Portfolio Manager and Trader
    • The Organizational Structure of a Sell-Side Trading Firm
    • The Revenue Sources for Sell-Side Trading Firms
    • Institutional Clearing and Settlement
    • Roles and Responsibilities in the Institutional Market
    • Investment Styles, Guidelines, and Restrictions
    • Algorithmic Trading