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EMP EXAM READINESS PREPARATION SEMINAR FOR DEALING REPRESENTATIVES

EMP EXAM READINESS PREPARATION SEMINAR FOR DEALING REPRESENTATIVES. Presenter Harry Figov, MBA, CA CBV , CPA, CFA, CFP harryfigov@sympatico.ca. PRODUCT DISTRIBUTION. PUBLIC DISTRIBUTION OF PRODUCTS USUALLY REQUIRES PROSPECTUS TIME CONSUMING COSTLY REQUIRES REGULATORY APPROVAL

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EMP EXAM READINESS PREPARATION SEMINAR FOR DEALING REPRESENTATIVES

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  1. EMP EXAM READINESS PREPARATION SEMINAR FOR DEALING REPRESENTATIVES WAISC 2010

  2. Presenter Harry Figov, MBA, CACBV, CPA, CFA, CFP harryfigov@sympatico.ca WAISC 2010

  3. PRODUCT DISTRIBUTION PUBLIC DISTRIBUTION OF PRODUCTS USUALLY REQUIRES PROSPECTUS • TIME CONSUMING • COSTLY • REQUIRES REGULATORY APPROVAL • REPORTING ISSUER WAISC 2010

  4. EMP EXEMPT MARKET PRODUCTS WAISC 2010

  5. PRESENTATION OBJECTIVE OVERVIEW OF EMP COURSE WAISC 2010

  6. EMP DOES NOT REQUIRE PROSPECTUS • LESS TIME CONSUMING • LESS COSTLY • NOT REQUIRE REGULATORY APPROVAL • NOT A REPORTING ISSUER WAISC 2010

  7. EMP COURSE OUTLINE Focus on Three (3) Topics: • Exempt Products • Manner in which Product Distributed • Qualified Purchasers WAISC 2010

  8. EMP – EXEMPT PRODUCTS • Principal Protected Notes (PPN) • Hedge Funds • Real Estate Investment Trusts (REITS) • Flow Through Shares WAISC 2010

  9. EMP – DISTRIBUTION VEHICLE • PPN - Actual product • Trusts • Limited Partnership (LP) • Shares WAISC 2010

  10. EMP – LIMITED PARTNERSHIP MOST FAVOURED APPROACH BECAUSE ALLOWS FOR MULTIPLE PRODUCTS TO BE INCLUDED • Diversification • Professional Management • Costlier because of Fees WAISC 2010

  11. EMP – PRODUCT PURCHASERS • Accredited Investor • Asset Test • $150,000 Exemption WAISC 2010

  12. EMP – ADDITIONAL TOPICS • Client Suitability • Representatives Responsibilities WAISC 2010

  13. EMP – EXAM • 100 Questions • Three (3) Hours • Follows Chapters Sequentially • Pass Mark – 60% WAISC 2010

  14. EMP – PREP COURSE • Offer Preparatory Course • Customized Notes • Pass Rate High WAISC 2010

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