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Overview of Institutional Markets



As of January 2nd, 2020 this course will no longer be available for sale.

Explore the Institutional Marketplace and Get to Know Its Primary Players.

Institutional clients play an influential role in the financial markets, as they typically have very large accounts, and considerable financial experience and knowledge. The Overview of Institutional Markets course  sheds light on Canada's institutional marketplace by examining the characteristics of institutional clients on both the buy and sell sides of the market.

The course first describes the responsibilities of portfolio managers and traders on the buy-side and then moves on to the organizational structure and operations of sell-side firms.

Next, it describes the suitability requirements for institutional clients, and it examines the responsibilities of investment dealer employees who play a key role in working with these clients.  After that, it explains how the different investment styles of institutional clients can shape the way you serve them. Finally, it explores recent trends that currently affect the institutional landscape.


The Overview of Institutional Markets online mini-course provides valuable insight into the institutional marketplace and its players, strategies and systems. Although you may not deal directly with institutional clients, the course will broaden your understanding of this segment of the industry.

Who Should Enrol

This CE course is suitable for investment advisors, compliance officers and wealth managers who would like to learn more about the institutional marketplace in Canada. In addition, individuals licensed to sell securities that are subject to Professional Development CE requirements would benefit from taking this course