Professional Financial Services


Professional Financial Services-2024/2025

Level 1
Take all of the following Mandatory Courses:
FINA-6012Canadian Securities 14
Canadian residents wishing to sell securities or advise clients on securities must be licensed and the Canadian Securities Course is the first step toward obtaining a license. FINA-6012 has the same content as Volume I of the Canadian Securities Course and covers the Canadian economy and investment marketplace, fixed income securities, equity securities, managed products, structured products, derivatives and corporations and their financial statements.
FINA-6026Professional Financial Planning4
This course looks at the financial planning profession and role of a financial planner working with clients to make financial decisions and work towards achieving their financial goals. Aspects of measuring personal financial situation, goal-setting. decision-making process, and communication and trust are considered.
INSR-6001Insurance Planning4
This course is a preparatory course for provincial licensing requirements for those who wish to sell life insurance and other life insurance products in Ontario. Topics discussed in this course include individual and group life insurance, disability insurance, insurance investment products, underwriting and claims processes, the risk management process and legal and professional standards.
FINA-6009Trust & Estate Planning3
This course reviews and discusses the importance of tools such as life insurance, wills, powers of attorney and trusts in estate planning, as well as the preservation and the inter-generational transfer of personal and business assets. This course will show the role risk and estate planning plays in a proper financial plan. You will learn strategies that can be used to transfer assets to beneficiaries in the most efficient manner.
FINA-6008Professional Retirement Planning3
This course provides a detailed look at the many sources of retirement income available to Canadians and how individuals can plan for their retirement, considering income needs, alternative savings/retirement income vehicles and taxation issues. The course discusses how the financial planner can provide assistance to clients in retirement planning.
FINA-6003Consumer Credit3
This course provides students with an in-depth knowledge of consumer and mortgage lending from a lender's perspective. Topics include: the types of credit available to match consumers' needs, the application and assessment process, investigation, documentation and collection methods.

Level 2
Take all of the following Mandatory Courses:

Group 1
FINA-6013Canadian Securities 24
Any Canadian resident who wishes to be licensed to sell securities or provide security investment advice to clients or customers anywhere in Canada must successfully complete the Canadian Securities Course. FINA-6013 has the same content as Volume II of the Canadian Securities Course and covers investment analysis, security valuation, portfolio development, mutual funds, segregated funds, hedge funds, other managed products, taxation, and financial planning.
LAWS-6014Law, Ethics & Conduct3
This course is an introduction to Canadian Business Law with an emphasis on the areas of law most pertinent to employees, managers and agents working in the financial services industry. Students must apply the industry code of ethics to identify appropriate conduct standards when faced with a wide variety of client circumstances.
FINA-6010Financial Business Development3
This course covers the critical issues of building, growing and managing a financial services business. Topics include Emotional Intelligence Quotient and your career, client development and service, marketing to clients, and the development of a framework for an individual business plan, specific to you and your future.
FINA-6027Comprehensive Financial Planning4
This course will examine financial planning on a more inclusive and comprehensive scale. Comprehensive financial planning involved the process of collecting client information and analysing that information for the purpose of making recommendations to the client. The 6 areas under examination are 1) Financial Management, 2) Risk Management, 3) Retirement Planning, 4) Tax Planning, 5) Estate Planning, and 6) Asset Management. The intent of this course is not to bring up a great many new topics but rather to examine how to draw from the other planning courses in the program and tie the analysis together in order to develop a single financial plan for the client. The six step financial planning process will be followed in conjunction with the code of ethics and practice standards.
FINA-6005Taxation & Tax Planning4
This course provides students with an understanding of the objectives and principles of Income Taxation in Canada. The topics covered include the role of government in income tax administration, liability for personal income tax, employment, business, property, capital gains, other income, deductions, tax credits and the calculation of taxes payable for individuals resident in Canada. In addition it explores advanced concepts related to personal tax affairs and tax planning strategies including the capital gains system, capital cost allowance, capital dividends, eligible capital expenditures, alternative minimum tax and income attribution.

Group 2
Students will be enrolled in one of the following courses:
MGMT-3059 or INNV-6001
MGMT-3059Strategic Client Engagement4
This course introduces students to the principles and application of the sales process. Included in this course are the following topics: prospecting, approach, presentation, close techniques, objection handling, and relationship management. Students are required to execute an effective individual sales presentations, conduct interviews, and complete written proposals and reports.
INNV-6001Innovation Applications4
Organizations and individuals need to be innovative to succeed in the complex and rapidly-changing global market place. In this course, you will learn the fundamentals of innovation and how innovation applies to your discipline or field. Using this foundational knowledge, you will select and apply the novel and adaptive thinking processes and tools presented in the course to complete an innovative learning project in collaboration with other students. The project will be based on a real-world scenario involving an external live client identified in consultation with your professor, and you will interact directly with the client. The project may involve a multi-disciplinary approach. Throughout the course, novel and adaptive thinking skills and collaboration skills will be evaluated through self assessment and peer assessment. This course is designed to give students in graduate certificate programs the opportunity apply innovative thinking to a real-world problem presented by an external client.

Program Residency
Students Must Complete a Minimum of 11 credits in this
program at Fanshawe College to meet the Program Residency
requirement and graduate from this program