Week#2_FIN2061_Sept12_DefinitionsCh#2_SecuritiesIndustry_Student.doc - FIN 2061 – Cdn Investments I Terms Definitions(Ch#2 Securities Industry

Week#2_FIN2061_Sept12_DefinitionsCh#2_SecuritiesIndustry_Student.doc

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FIN 2061 – Cdn. Investments I: Terms & Definitions (Ch. #2, Securities Industry) Clearing Federally regulated Canadian subsidiaries of foreign banks Schedule III Bank All functions directly related to operations (compliance, audit, accounting, legal) Underwriting Agency established to enforce industry regulations and protect investors Agent Firm trades on behalf of a buyer or seller without owning securities directly Front Office Dealer contract to buy of a new issue of securities as principal to sell into market Middle Office Organization that facilitates trading or capital transfers between suppliers & users Settlement Process of confirming and matching security trade details Self-Regulatory Organization Canadian banks licensed for a full range of banking/lending/investment services
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