WAISC 20101 EMP EXAM READINESS PREPARATION SEMINAR FOR DEALING REPRESENTATIVES.
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Transcript of WAISC 20101 EMP EXAM READINESS PREPARATION SEMINAR FOR DEALING REPRESENTATIVES.
![Page 1: WAISC 20101 EMP EXAM READINESS PREPARATION SEMINAR FOR DEALING REPRESENTATIVES.](https://reader035.fdocuments.in/reader035/viewer/2022072013/56649e545503460f94b4b6ac/html5/thumbnails/1.jpg)
WAISC 2010 1
EMP EXAM READINESS
PREPARATION SEMINAR FOR
DEALING REPRESENTATIVES
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WAISC 2010 3
PRODUCT DISTRIBUTION PUBLIC DISTRIBUTION OF
PRODUCTS USUALLY REQUIRES PROSPECTUS
• TIME CONSUMING
• COSTLY
• REQUIRES REGULATORY APPROVAL
• REPORTING ISSUER
![Page 4: WAISC 20101 EMP EXAM READINESS PREPARATION SEMINAR FOR DEALING REPRESENTATIVES.](https://reader035.fdocuments.in/reader035/viewer/2022072013/56649e545503460f94b4b6ac/html5/thumbnails/4.jpg)
WAISC 2010 4
EMP
EXEMPT
MARKET
PRODUCTS
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WAISC 2010 5
PRESENTATION OBJECTIVE
OVERVIEW OF EMP COURSE
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WAISC 2010 6
EMPDOES NOT REQUIRE
PROSPECTUS• LESS TIME CONSUMING• LESS COSTLY• NOT REQUIRE REGULATORY
APPROVAL• NOT A REPORTING ISSUER
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WAISC 2010 7
EMP COURSE OUTLINE
Focus on Three (3) Topics:
1. Exempt Products
2. Manner in which Product Distributed
3. Qualified Purchasers
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WAISC 2010 8
EMP – EXEMPT PRODUCTS
1. Principal Protected Notes (PPN)
2. Hedge Funds
3. Real Estate Investment Trusts (REITS)
4. Flow Through Shares
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WAISC 2010 9
EMP – DISTRIBUTION VEHICLE
• PPN - Actual product• Trusts• Limited Partnership (LP)
• Shares
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WAISC 2010 10
EMP – LIMITED PARTNERSHIP
MOST FAVOURED APPROACH BECAUSE ALLOWS FOR
MULTIPLE PRODUCTS TO BE INCLUDED
• Diversification• Professional Management• Costlier because of Fees
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WAISC 2010 11
EMP – PRODUCT PURCHASERS
1.Accredited Investor
2.Asset Test
3.$150,000 Exemption
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WAISC 2010 12
EMP – ADDITIONAL TOPICS
1.Client Suitability
2.Representatives Responsibilities
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WAISC 2010 13
EMP – EXAM
• 100 Questions
• Three (3) Hours
• Follows Chapters Sequentially
• Pass Mark – 60%
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WAISC 2010 14
EMP – PREP COURSE
•Offer Preparatory Course
•Customized Notes
•Pass Rate High