PPT-CISI – Financial Products, Markets & Services

Topic The Financial Services Industry 113 Investment Distribution Channels RDR What is it What was the impact The Retail Distribution Review RDR came into effect in January 2013. B NASDAQ traded securities simply append the special code after root symbol brPage 7br Option Symbol Options Symbol represents four different characteristics Underlying Instrument Put or Call Expiration Month Strike Price Example MSQJG MSQ A. Background and Early Regulation. The primary purpose of government regulation of competitive markets is to prevent market failure or . collapse.. Proponents . of regulation argue that financial markets, left unregulated, will tend towards loss of competition, stability, efficiency and credibility, leading to individuals and firms withdrawing from participation. . Stephen Franks. Stephen Franks. 2. TRUE CLAIMS. FALSE CLAIMS. COLLABORATION. OF. NOT ME FROM. Registration. of NZ company . As FSPR. Dispute resolution?. NZ as office . NZ personnel (at the start). Borrowers . Spenders. Households. Business firms. Governments. Foreigners. FinancialMarkets. Indirect Finance. Direct Finance. Funds. Funds. Funds. Financial Intermediaries. Lenders. Savers. Households. Contents Page How to represent your CISI membership 2. Introduc�on to CFP mark 4 3. How to TM Mark 54. How to CERTIFIED TM Mark 75. How to Logo Mark 9 for reproducing Lo myCISIParticipant Portal: On This document was designed as a helpful summary or overview to the myCISI Participant Portal’s main functionalitiesYour CISI coverage includes a comprehensive online Chartered Institute for Securities Investment CISIExamination Verification Form for Securities Industry ssentials SIE ExamExemption this information will be used to determine your eligibilityforPleas Candidate Informationto be completed by candidateLegal Name CISI CISI Tariff report FINAL CONTENTS PAGE THE CONDUCT OF THE COMPARABILITY STUDY SECTION 1 SUMMARY AND RECOMMENDATIONS SECTION 2 OVERVIEW OF CISI CERTIFICATE FOR INTRODUCTION TO SECURITIES AND INVESTME kindly visit us at www.nexancourse.com. Prepare your certification exams with real time Certification Questions & Answers verified by experienced professionals! We make your certification journey easier as we provide you learning materials to help you to pass your exams from the first try. kindly visit us at www.nexancourse.com. Prepare your certification exams with real time Certification Questions & Answers verified by experienced professionals! We make your certification journey easier as we provide you learning materials to help you to pass your exams from the first try. kindly visit us at www.nexancourse.com. Prepare your certification exams with real time Certification Questions & Answers verified by experienced professionals! We make your certification journey easier as we provide you learning materials to help you to pass your exams from the first try. kindly visit us at www.examsdump.com. Prepare your certification exams with real time Certification Questions & Answers verified by experienced professionals! We make your certification journey easier as we provide you learning materials to help you to pass your exams from the first try. Professionally researched by Certified Trainers,our preparation materials contribute to industryshighest-99.6% pass rate among our customers. Financial markets . : . is a broad term describing any market place where trading of securities including equities, bonds, currencies and derivatives occurs.. Financial . markets can be distinguished along two major dimensions.