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Dealer Capital Requirements: What You Should Know


Regulators place certain objectives and financial expectations on dealer members. They are required to have adequate funding to meet their obligations, based on the types of activities that they are engaged in. Dealer members must also maintain a minimum financial level and follow specific reporting procedures if the firm becomes financially compromised. At such times, regulators closely monitor the firm in question to ensure that client assets are secure, and ultimately to support and assist the firm that has fallen in financial turmoil. While the firm’s chief financial officer (CFO) has responsibility for continuously monitoring the dealer member’s capital position to ensure that adequate risk adjusted capital (RAC) is maintained, it is the responsibility of all approved persons to be cognizant of the potential impact of their actions on the dealer’s capital. This course explores the capital formula and early warning indicators, helping retail and institutional representatives to understand how they impact the financial health of their firm.

Who should enrol:

Dealer Capital Requirements: What You Should Know is designed for financial professionals including  investment advisors, investment representatives and compliance personnel. It is recommended for individuals who are subject to CE compliance requirements, and for professional development.