UNIVERSITY OF ALBERTA 
FIN 414: Operation of Financial Institutions 
Comprehensive Revision Guide and Notes 2026 
 
Part 01: About This Guide 
Part 02: Sample Examination 
Part 03: Suggested Solutions to Exam Paper 
Part 04: Study Tips for Students 
 
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U of A - FIN 414: Operation of Financial Institutions

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ACADEMIC YEAR 2025 - 2026

University	University of Alberta
Study Level	Undergraduate
Course Code	FIN 414
Course Title	Operation of Financial Institutions
Notes Title	Comprehensive Revision Guide and Notes
Page Length	28

A comprehensive and easy-to-understand set of notes covering all examinable topics for FIN 414: Operation of Financial Institutions at the University of Alberta. You will find a clear breakdown of the final examination format, the topics and question styles that commonly appear, and the key concepts to prioritize. The notes are organized for fast, focused study and explain how to apply ideas in typical exam questions. Use them to build understanding topic by topic, refresh core definitions and relationships quickly, and feel more confident as you practise.

Well-functioning capital markets are essential for economic growth. The allocation of scarce resources requires accurate prices and this includes accurate prices for investment capital (i.e., the cost of capital). This course examines the roles played by various financial intermediaries as they engage in activities that enhance the functionality of capital markets, the risks faced as they do so, and the ways that these risks are managed. At the end of this course you should understand the economic role of financial intermediaries in general, the risks faced by specific types of financial intermediaries as they fulfill their roles, and techniques for measuring and managing the risks. Success in this course requires a sound grasp of business fundamentals, critical thinking and problem solving, communication skills, and the application of quantitative methods.

* Prerequisite: FIN 301. Students may not receive credit for both FIN 414 and ECON 341.

COURSE CODE	COURSE TITLE
ACCTG 200	Introduction to Accounting
ACCTG 211	Introduction to Accounting for Financial Performance
ACCTG 222	Introduction to Accounting for Management Decision Making
ACCTG 315	Intermediate Financial Accounting II
BLAW 201	Legal Foundations of the Canadian Economy
ECON 101	Introduction to Microeconomics
ECON 102	Introduction to Macroeconomics
ECON 281	Intermediate Microeconomic Theory I
ECON 299	Quantitative Methods in Economics
ECON 399	Introductory Econometrics
FIN 201	Introduction to Finance
FIN 312	Investment Principles
FIN 322	Capital Investment
FIN 413	Risk Management
FIN 414	Operation of Financial Institutions
MARK 201	Introduction to Marketing
MGTSC 212	Probability and Statistics for Business
PSYCH 213	Introduction to Data Analysis in Psychology I
SEM 301	Behaviour in Organizations
STAT 151	Introduction to Applied Statistics I
STAT 161	Introductory Statistics for Business and Economics
STAT 235	Introductory Statistics for Engineering

MITCA.

Updated for 2026

U of A - FIN 414: Operation of Financial Institutions

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