In-depth brokers and investment dealers Agenda
| Day 1: Monday, October 18, 2021 | |
|---|---|
7:30 – 8:30 | Registration and Continental Breakfast |
8:30 – 9:15 | Canadian Securities Industry Regulatory Framework |
9:15 – 9:45 | IIROC Rule 300 Audit Requirements |
9:45 – 10:30 | Processing a Trade |
10:30 – 10:45 | Break |
10:45 – 12:00 | Brokerage and Clearing Operations |
12:00 – 12:45 | Lunch |
12:45 – 2:45 | Client Accounts |
2:45 – 3:00 | Segregation of Securities |
3:00 – 3:15 | Break |
| Day 2: Tuesday, October 19, 2021 | |
|---|---|
7:30 – 8:30 | Continental Breakfast |
8:30 – 9:00 | Capital Formula Overview |
9:00 – 10:00 | Securities Inventory & Underwriting Margining+• Schedules 2, 2A, and 2B on Form 1 |
10:00 – 10:15 | Break |
11:30 – 12:00 | Broker Accounts+• Schedule 5 |
12:00 – 12:45 | Lunch |
12:45 – 1:15 | Income Tax Reporting |
1:15 – 2:30 | Review of other Form 1 Schedules +• Security Lending/Borrowing, and Repurchase/Reverse Repurchase transactions Schedules 1 & 7 on Form 1 • Securities Concentration – Schedule 9 on Form 1 • Insurance – Schedule 10 on Form 1 • Unhedged Foreign Securities – Schedule 11 on Form 1 • Margin on Futures Concentrations and Deposits – Schedule 12 on Form 1 • Provider of Capital Concentration Charge – Schedule 14 on Form 1 |
2:30 – 2:45 | Break |
2:45– 3:30 | Accounting Considerations – Module V+• IFRS 9 & 15 • Inventory valuation • Underwriting price structure and profit calculation, and corporate finance revenue recognition • Financial instruments |