Name: Working with Retail and Institutional Clients
Price: 99 CAD
Rating: 5 (1 reviews)

What You'll Learn

check_circleDistinguish unique needs of retail and institutional clients.

check_circleImplement a comprehensive financial planning process.

check_circleApply ethical standards to client relationships.

check_circleDifferentiate buy-side and sell-side market functions.

check_circleUnderstand institutional trading roles and strategies.

check_circleExplain advanced trading techniques like HFT and dark pools.

About This Course

Discover the essential strategies and best practices for effectively "Working with Retail and Institutional Clients" in this comprehensive course. Designed for financial professionals, this program delves into the distinct needs and approaches required for success in both client segments.

Explore the intricacies of financial planning for retail clients, from establishing robust client-advisor relationships and collecting crucial data, to analyzing information, implementing recommendations, and conducting periodic reviews.
Understand the various stages of the client life cycle and how their evolving financial needs and risk tolerances impact your advice.
Master the critical importance of ethics and standards of conduct, including the Know Your Client (KYC) rule, duty of care, and confidentiality, to build unwavering trust and maintain professional integrity.
Navigate the dynamic world of institutional clients, distinguishing between the sell-side and buy-side of the market.
Gain insights into the diverse roles and responsibilities within sell-side trading firms, including full-service dealers, investment banking boutiques, and self-directed dealers.
Examine the unique characteristics and needs of various institutional clients such as corporate treasuries, pension funds, and hedge funds.
Learn about modern trading technologies like Direct Electronic Access (DEA) and Algorithmic Trading, and understand the responsibilities of buy-side portfolio managers and traders.
Uncover the revenue sources for sell-side equity and fixed income trading desks, and the role of soft dollar arrangements.
Grasp the complexities of institutional clearing and settlement, including straight-through processing (STP) and the challenges involved.
Familiarize yourself with the roles and responsibilities of key professionals in the institutional market, from research associates and analysts to institutional salespersons and traders.
Understand different investment styles, guidelines, and restrictions, as well as the impact of high-frequency trading (HFT) and dark pools.

By the end of this course, you will possess a profound understanding of how to cater to the unique demands of both retail and institutional clients, empowering you to build lasting relationships, navigate complex financial landscapes, and drive successful outcomes.

Your Instructor

PNC Learning

2x Award Winning Commercial Insurance Broker

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star330 reviews

Founder and CEO of PNC Learning (a wholly owned LearnDay subsidiary), one of Canada’s leading independent providers of pre-licensing and accredited continuing education courses for insurance professionals. https://courses.pnclearning.com With programs currently in use by thousands of students and at some of the largest insurance brokerages across Canada, Jacques has deep experience in successfully launching and marketing new e-Learning programs for the fitness industry, financial services, and other regulated industries. With a technical background, his expertise in e-Learning includes content creation, sales & marketing, and everything required to bring a new e-Learning program to market from the ground up.

Credit Information

Is this course eligible for my CPD requirements as a Canadian CPA?

Provincial regulators of CPAs in Canada do not require that independent providers of CPD be approved to offer courses. Instead, individual CPAs are responsible for assessing whether a CPD activity meets their requirements, and may take activities from any source provided those requirements are met.

Every course offered on LearnFormula is delivered by a qualified subject matter expert or learning organization, and advances learning objectives that are relevant to the responsibilities or professional competencies of Canadian CPAs. All activities on LearnFormula are quantifiable in terms of hours, and are also verifiable, in that users receive documented evidence of their attendance via a certificate of completion after finishing a course (and this certificate is stored by LearnFormula indefinitely). Nearly 100,000 Canadian CPAs successfully satisfy their CPD requirements via LearnFormula on an annual basis.

What Students Are Saying

5.0

Student's Choice

1 reviews

Frequently Asked Questions

We are a registered provider with 327+ associations and regulatory bodies worldwide. We operate across 29 global markets including Canada, the US, Australia, and the UK. Every course page clearly displays its specific accreditations. Upon completion, you receive a professional certificate that can be validated online. Our certificates include all necessary accreditation details, credit hours, and completion dates, and are formatted specifically to meet the submission requirements of most global regulatory bodies.