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EMP EXAM READINESS PREPARATION SEMINAR FOR DEALING REPRESENTATIVES

Join us for a comprehensive seminar presented by Harry Figov, MBA, CA, CBV, CPA, CFA, CFP, focusing on exam readiness for the Exempt Market Products (EMP) course. This session will cover essential topics such as exempt products, distribution methods, and qualified purchasers. Discover the advantages of EMP, including reduced costs and less regulatory hassle compared to public product distribution. Get customized notes and insights tailored to help you succeed in the exam, which consists of 100 questions and requires a passing mark of 60%.

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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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