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FCA102 - Anti-Money Laundering Administration

The international financial services community is working closely with the government and police force at all levels to contain efforts by organized crime and terrorist groups to launder money and use the financial services system as a conduit for the illicit transfer of funds from the proceeds of crime. The Canadian government has put legislative mechanisms in place and established a financial intelligence unit, FINTRAC, to monitor compliance. This subject will teach students how to design and administer Anti-Money Laundering management programs in conformance with Canadian and international regulatory requirements.

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FCA111 - Law and Governance

This subject will introduce the student to the fundamentals of the legal system in Canada. They will become familiar with the basic principles of common law, with emphasis on business law, as well as the Constitution and the role of statute law in the Canadian legal system. They will be exposed to the distinction and function of private and public law and the role of agencies in administering government programs. They will be made aware of the relationship between law and corporate governance and the principles and practices that encompass the governance of corporations in the financial services sector, with an emphasis on best practices application.

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FCA120 - Financial Services Product Knowledge

With a focus on the financial services sector, its products and services, in this course students are introduced to the various markets and institutions. Students will learn about banking and insurance products and services and gain insights into Fintech services and relatively new products such as Bitcoin. Analysis of product development, promotion and distribution strategies will allow students to identify compliance risks. Compliance policies and regulations aimed at protecting the public will be reviewed.

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FCA125 - Understanding Investments & Investment Strategies

Students will be introduced to the capital markets where the flow of money between savers and borrowers occurs using financial instruments. An in depth look at the types, features, pricing and trading of financial instruments, such as fixed-income, equity and derivative securities is presented, along with how such investments are brought to market. Economic principles and policies are also covered with an eye toward their effect on various financial instruments. An introduction to a corporation's financial statements is also presented as a foundation for assessing a company as an investment opportunity (which is continued in FCA225).

 
This course prepares students to challenge the Canadian Securities Course (CSC) Volume I Examination.

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FCA151 - Project Management and Policies and Procedures

Students will be taught the fundamentals of project management and how to use project management as the framework for the cost-effective design of a compliance program and compliance projects. The research, drafting, implementation and administration of a policies and procedures manual are a priority project in financial services organizations. The students will learn how to apply project management principles and practices in the drafting of best practices policies and procedures.

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