Equities - Part 6 (2020)


This eCourse consists of two modules. Module 1 provides an introduction to Canadian equity markets. It primarily focuses on the workings of the Toronto Stock Exchange. It examines the regulators, indexes, and types of securities in the market and also general trading practices, market conventions and clearing and settlement procedures.

Module 2 provides a high-level overview of the US equity market and explores how it fulfils its core functions. The US equity market is the world’s largest and most liquid stock market. It performs two core functions – it enables firms to raise capital by issuing new securities and it allows investors to trade existing securities. The market is complex and highly regulated, and technology has driven several significant changes in recent years.


On completion of this course, you will be able to:
- List the stock exchanges, market regulators, stock indexes and types of security in the Canadian market
-State the issuing procedures and listing requirements for equities in Canada
-Describe trading operations and market conventions for Canadian equities
-Explain how clearing and settlement procedures are organized in Canada
- Define the US equity market and identify its size and components
- List the key laws that govern US equity markets
- Define primary markets and recall the securities listing process
- Define secondary markets and categorize exchange and off-exchange trading venues
- Determine the role of regulation in shaping the structure of the US equity market


Module 1: Canadian Equity Market
Topic 1: Stock Indexes
Topic 2: Market Conventions
Topic 3: Types of Security
Topic 4: Stock Exchanges
Topic 5: Clearing & Settlement
Topic 6: Trading Procedures and Issuing Procedures
Topic 7: Listing Requirements
Topic 8: Market Regulator’s

Module 2: US Equity Market
Topic 1: US Equity Market Overview
Topic 2: Primary Market
Topic 3: Secondary Market


Relevant Subject
Type 1 - Dealing in securities
Type 4 - Advising on securities
Type 6 - Advising on corporate finance
Type 9 - Asset management
SFC:2.00, PWMA:2.00
All Member: HK$570
Staff of Corporate Member: HK$570
Non-Member: HK$840