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FCA202 - Privacy Management and Identity Theft

Privacy is foremost in the minds of the public in their utilization of financial services. Confidentiality is key to the reputation of financial institutions in their provision of services to the public. The public wants assurance that their personal information is adequately protected in the electronic documents that are core to the management of financial services management. There is also concern about the ever present potential for identity theft and the misappropriation of their personal wealth and damage to their credit reputation. This subject will familiarize students with the core issues of privacy management in the financial services environment and provide them with the competencies required to design and administer a comprehensive privacy compliance management program. Students will also be familiarized with practices and techniques to safeguard financial services organizations from identity theft.

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FCA210 - Risk Management and Market Conduct

Regulation is a risk management function. This subject will introduce students to the fundamentals of risk management that apply to the regulation of financial services. They will also learn how to apply the risk management function to the supervision of the marketers and managers of financial service products in a manner that is in keeping with regulatory requirements and best practices standards of professional conduct.

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FCA221 - Compliance Communication and Complaints Management

This subject provides students with effective compliance communication and complaint handling skills. It establishes compliance reporting standards. Students will become familiar with complaint handling systems within different financial services sectors and their responsibilities as compliance officers for effective administration of internal complaint management systems.

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FCA225 - Investment Strategies and Tactics

The study of the investment market in Canada continues in this course. Topics covered include managed products (mutual funds, segregated funds, income trusts), hedge funds, fundamental and technical market analysis, ratio analysis, taxation of investment returns, asset allocation and portfolio theory and strategy. This course prepares students to write exam 2 of the Canadian Securities Course (CSC).

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FCA295 - Regulatory Compliance Administration

The financial service industry is highly regulated by a number of interrelated government agencies at the federal and provincial level and the marketing of financial services products is subject to a variety of licensing requirements by regulatory and self regulatory organizations (SROs). Students will become conversant with the financial services industry regulatory framework, be able to articulate the rationale for the various regulatory bodies and know how to function as a best practices level compliance administrator in a highly regulated environment.

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FCA231 - Ethics/Professional Conduct and Liability

In this subject, students will gain an overview of the theory and principles of ethics as a discipline for the determination of prescribed codes of conduct in professional and workplace environments. They will become familiar with the rules, regulations and norms of behaviour that are the foundation for acceptable conduct by the various stakeholders in the financial services industry. Students will also gain knowledge concerning professional responsibilities and liabilities of partners, directors and senior officers in the securities industry.

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FPL290 - Field Placement

Students are required to complete field placement in a legal work setting to apply the theory and skills they have learned in the program to gain work experience. Field placement promotes the concept of "learning by doing". Successful completion of the field placement component is a program and graduation requirement.

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