Continuing Education → Compliance / Business Conduct

GameStop, FTX, Data and "Fin-fluencers" (LCI23C001)


Description
The GameStop phenomenon, the downfall of cryptocurrency exchange platform FTX, the use of alternative data in the stock market, and the role of "Fin-fluencers."

5.0 IIROC: Compliance: 24-0023CP
5.0 MFDA: Business Conduct: MFDA Activity Number 1000003229
5.0 Financial Services Regulatory Authority of Ontario (FSRA): Life or Accident and Sickness
5.0 Alberta Accreditation Committee: Life (65558)
5.0 Insurance Council of British Columbia: Life or Accident and Sickness
5.0 Insurance Councils of Saskatchewan: Life or Accident and Sickness
5.0 Insurance Council of Manitoba: Life or Accident and Sickness (41252)
5.0 Chartered Professional Accountants (CPA): Verifiable CPD
5.0 Chartered Financial Analyst (CFA): Professional Learning Credits
5.0 FP Canada: Practice Management
5.0 Advocis: Structured Learning
5.0 Law Society of Ontario - Substantive Hours
5.0 PFP - Compliance
5.0 CIM - Compliance


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CE Credits: 5 MFDA CE Activity Cod...: 1000003229 IIROC: 5.0 IIROC: Compliance 24-0023CP MFDA: 5.0 MFDA: Business Conduct 1000003229 FSRA: 5.0 Financial Services Regulatory Author... AIC: 5.0 Alberta Accreditation Committee: Lif... ICBC: 5.0 Insurance Council of British Columbi... ICS: 5.0 Insurance Councils of Saskatchewan: ... ICM: 5.0 Insurance Council of Manitoba: Life ... CFP / QAFP: 5.0 FP Canada: Practice Management CIM / PFP: 5.0 CIM/PFP Compliance CFA: 5.0 CFA: Professional Learning CPA: 5.0 CPA Verifiable CPD Advocis: 5.0 Advocis: Structured Learning Law Society of ON: 5.0 Law Society of Ontario - Substantive...

Content
  • GameStop
  • GameStop Introduction (4:15)
  • US Market Structure (2:30)
  • Regulatory Framework Overview (3:04)
  • Individual Investors and Retail Broker Dealers (5:34)
  • Order Execution and Segmentation of Individual Investor Flow (7:30)
  • Clearance and Settlement (4:01)
  • The Run up to Jan 2021 (2:19)
  • Equities Trading (8:10)
  • The Impact on Exchange Traded Funds (2:40)
  • Short Selling and Covering Short Positions (10:27)
  • Clearing Agency Margin and Capital Issues (4:28)
  • Broker Dealer Reactions and Trading (5:13)
  • Role of Off-Exchange Market Makers (3:31)
  • Available Liquidity for GME (3:30)
  • GameStop Options Trading (2:13)
  • GameStop Conclusion (4:28)
  • Quiz - GameStop
  • Your Guide to Day Trading in a Post-Gamestop World (8:50)
  • FTX: The Unfolding Story
  • The FTX Collapse, Explained | What Went Wrong (6:03)
  • FTX Collapsed...Here's Why (11:15)
  • The FTX Disaster is Deeper Than you Think (29:39)
  • What Does FTX's Collapse Mean for Crypto Regulation? (7:26)
  • Quiz - FTX
  • Data
  • Wall Street Data Gold Rush (49:46)
  • Quiz - Wall Street Gold Rush
  • Fin-fluencers and Social Media
  • Meet the Investors Taking Tips From Social Media (6:32)
  • Can Fin-fluencers Be Trusted? (30:14)
  • Quiz - Can Fin-fluencers be trusted?
  • Influencer Marketing is Ruining the Investment Industry (11:52)
  • Investment Analyst Reacts to Investing TikToks (13:15)
  • Broker-Dealer Reactions to Trading Restrictions
Completion rules
  • All units must be completed
  • Leads to a certificate with a duration: Forever