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Course Outline
Course Name: Canadian Securities 1 (FIN 5001)
Academic Period: 2021 - 2022
Faculty:
Faculty Availability:
Associate Dean:
Paul Griffin
paul.griffin@humber.ca
Schedule Type Code:
Land Acknowledgement
Humber College is located within the traditional and treaty lands of the Mississaugas of the Credit. Known as Adoobiigok [A-doe-bee-goke], the “Place of the Alders” in Michi Saagiig [Mi-Chee Saw-Geeg] language, the region is uniquely situated along Humber River Watershed, which historically provided an integral connection for Anishinaabe [Ah-nish-nah-bay], Haudenosaunee [Hoeden-no-shownee], and Wendat [Wine-Dot] peoples between the Ontario Lakeshore and the Lake Simcoe/Georgian Bay regions. Now home to people of numerous nations, Adoobiigok continues to provide a vital source of interconnection for all.
Equity, Diversity and Inclusion Statement
Humber College and the University of Guelph-Humber (Humber) are leaders in providing a learning, working and living environment that recognizes and values equity, diversity and inclusion in all its programs and services. Humber commits to reflect the diversity of the communities the College serves. Students, faculty, support and administrative staff feel a sense of belonging and have opportunities to be their authentic selves.
| Faculty or Department | Longo Faculty of Business |
|---|---|
| Program(s) |
Financial Planning (20791)
|
| Course Name: | Canadian Securities 1 (FIN 5001) |
| Pre-Requisites | none |
| Co-Requisites | none |
| Pre-Requisites for | none |
| Equates | none |
| Restrictions | none |
| Credit Value | 3 |
| Total Course Hours | 42 |
| Developed By: | Prepared By: | Approved by: | |
|---|---|---|---|
| Paul Griffin |
Humber Learning Outcomes (HLOs) in this course.
The HLOs are a cross-institutional learning outcomes strategy aimed at equipping Humber graduates with the employability skills, mindsets, and values they need to succeed in the future of work. To explore all the HLOs, please consult the Humber Learning Outcomes framework.
Course Description
Knowledge of the Canadian financial services landscape, the regulatory environment, and various financial instruments is fundamental to the role of a Financial Planner. Students compare and assess investment products and alternatives, including equities, fixed income investments and derivatives, from and investorâs prospective. Students employ financial math skills to calculate bond yields and returns on fixed income investments. After successful completion of the course, students should choose to sit an examination set by the Canadian Securities Institute for licensing purposes, a prerequisite for entering the financial services industry. In combination with Canadian Securities 2, students prepare for investment and/or financial planning careers in the financial services industry.
Course Rationale
To provide students with the knowledge of the Canadian securities market, industry, regulatory environment and basic investment instruments to prepare them to successfully write the CSC 1 industry exam which is part of a successful career in the financial planning industry.
Program Outcomes Emphasized in this Course
Financial Planning (20791)
Adhere to the certified financial planner ethical code of conduct, standards of practice, regulatory, legal and taxation requirements.
Establish and manage the client-planner relationship.
Analyze and evaluate client financial data including investment goals, life and health insurance, retirement planning and estate planning, considering economic information.
Develop and present financial recommendations and/or alternatives regarding investments, retirement planning, estate planning, life and health insurance.
Qualify to challenge the Certified Financial Planner (CFP™), the Life Insurance Licence (LLQP) examination and the Canadian Securities Course.
Course Learning Method(s)
- Lecture
Learning Outcomes
- Explain key terms applicable to the Canadian Financial services landscape the regulatory environment, and various financial instruments.
- Illustrate the roles and responsibilities of various regulatory bodies financial service providers within Canada.
- Analyze the significance of economic principles and policies on investment practices.
- Predict the impact of various economic factors on the value of specific investments.
- Assess investment products and alternatives including equities, fixed income investments and derivatives, from an investor's perspective.
- Employ financial math skills to calculate values related to equities, fixed income investments and derivatives, including bond yields and returns on fixed income investments.
- Justify investment decision-making related to securities.
- Articulate changes in security investments to track financial outcomes and inform future decision-making.
- Analyze changes in security investment values over time to infer factors that influenced market changes.
- Outline the scope of practice of a financial planner, with regards to Canadian Securities.
Assessment Weighting
| Assessment | Weight |
|---|---|
| Applied Project | 15% |
| One-on-one Consultation | 10% |
| Final Exam | 35% |
| Test | 40% |
| Total | 100% |
Modules of Study
| Module | Course Learning Outcomes | Resources | Assessments |
|---|---|---|---|
| The Canadian Securities Industry The Capital Market |
|
Required Resources: The Canadian Securities Course (2017). The Canadian Securities Institute.* *If students are planning to enter the financial services industry upon graduation, it is strongly recommended that they register with and obtain materials from the Canadian Securities Institute (CSI). Students may obtain these materials at additional cost (which includes the ability to write the CSI’s CSC 1 & 2 exams necessary to obtain their securities license) at the CSI website – www.csi.ca/psi. |
|
| The Canadian Regulatory Environment |
|
The Canadian Securities Course (2017). The Canadian Securities Institute.* *If students are planning to enter the financial services industry upon graduation, it is strongly recommended that they register with and obtain materials from the Canadian Securities Institute (CSI). Students may obtain these materials at additional cost (which includes the ability to write the CSI’s CSC 1 & 2 exams necessary to obtain their securities license) at the CSI website – www.csi.ca/psi. |
|
| Overview of Economics |
|
The Canadian Securities Course (2017). The Canadian Securities Institute.* *If students are planning to enter the financial services industry upon graduation, it is strongly recommended that they register with and obtain materials from the Canadian Securities Institute (CSI). Students may obtain these materials at additional cost (which includes the ability to write the CSI’s CSC 1 & 2 exams necessary to obtain their securities license) at the CSI website – www.csi.ca/psi. |
|
| Economic Policy |
|
The Canadian Securities Course (2017). The Canadian Securities Institute.* *If students are planning to enter the financial services industry upon graduation, it is strongly recommended that they register with and obtain materials from the Canadian Securities Institute (CSI). Students may obtain these materials at additional cost (which includes the ability to write the CSI’s CSC 1 & 2 exams necessary to obtain their securities license) at the CSI website – www.csi.ca/psi. |
|
| Fixed Income Securities – Investment Products, Features and Types |
|
The Canadian Securities Course (2017). The Canadian Securities Institute.* *If students are planning to enter the financial services industry upon graduation, it is strongly recommended that they register with and obtain materials from the Canadian Securities Institute (CSI). Students may obtain these materials at additional cost (which includes the ability to write the CSI’s CSC 1 & 2 exams necessary to obtain their securities license) at the CSI website – www.csi.ca/psi. |
|
| Fixed Income Securities – Pricing and Trading |
|
The Canadian Securities Course (2017). The Canadian Securities Institute.* *If students are planning to enter the financial services industry upon graduation, it is strongly recommended that they register with and obtain materials from the Canadian Securities Institute (CSI). Students may obtain these materials at additional cost (which includes the ability to write the CSI’s CSC 1 & 2 exams necessary to obtain their securities license) at the CSI website – www.csi.ca/psi. |
|
| Equity Securities – Common and Preferred Shares |
|
The Canadian Securities Course (2017). The Canadian Securities Institute.* *If students are planning to enter the financial services industry upon graduation, it is strongly recommended that they register with and obtain materials from the Canadian Securities Institute (CSI). Students may obtain these materials at additional cost (which includes the ability to write the CSI’s CSC 1 & 2 exams necessary to obtain their securities license) at the CSI website – www.csi.ca/psi. |
|
| Equity Securities – Equity Transactions |
|
The Canadian Securities Course (2017). The Canadian Securities Institute.* *If students are planning to enter the financial services industry upon graduation, it is strongly recommended that they register with and obtain materials from the Canadian Securities Institute (CSI). Students may obtain these materials at additional cost (which includes the ability to write the CSI’s CSC 1 & 2 exams necessary to obtain their securities license) at the CSI website – www.csi.ca/psi. |
|
| Derivatives |
|
The Canadian Securities Course (2017). The Canadian Securities Institute.* *If students are planning to enter the financial services industry upon graduation, it is strongly recommended that they register with and obtain materials from the Canadian Securities Institute (CSI). Students may obtain these materials at additional cost (which includes the ability to write the CSI’s CSC 1 & 2 exams necessary to obtain their securities license) at the CSI website – www.csi.ca/psi. |
|
| Corporations and their Financial Statements |
|
The Canadian Securities Course (2017). The Canadian Securities Institute.* *If students are planning to enter the financial services industry upon graduation, it is strongly recommended that they register with and obtain materials from the Canadian Securities Institute (CSI). Students may obtain these materials at additional cost (which includes the ability to write the CSI’s CSC 1 & 2 exams necessary to obtain their securities license) at the CSI website – www.csi.ca/psi. |
|
| Financing & Listing Securities |
|
The Canadian Securities Course (2017). The Canadian Securities Institute.* *If students are planning to enter the financial services industry upon graduation, it is strongly recommended that they register with and obtain materials from the Canadian Securities Institute (CSI). Students may obtain these materials at additional cost (which includes the ability to write the CSI’s CSC 1 & 2 exams necessary to obtain their securities license) at the CSI website – www.csi.ca/psi. |
|
| Review |
|
The Canadian Securities Course (2017). The Canadian Securities Institute.* *If students are planning to enter the financial services industry upon graduation, it is strongly recommended that they register with and obtain materials from the Canadian Securities Institute (CSI). Students may obtain these materials at additional cost (which includes the ability to write the CSI’s CSC 1 & 2 exams necessary to obtain their securities license) at the CSI website – www.csi.ca/psi. |
|
Essential Skills
| Section | Skills | Measurement | Details |
|---|---|---|---|
| Communication |
|
Reinforce and measure |
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| Numeracy |
|
Reinforce and measure |
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| Critical Thinking and Problem-Solving |
|
Reinforce and measure |
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| Information Management |
|
Reinforce and measure |
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| Personal Skills |
|
Reinforce and measure |
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| Interpersonal Skills |
|
Reinforce and measure |
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Prior Learning Assessment & Recognition (PLAR)
Prior Learning Assessment and Recognition (PLAR) is the formal evaluation and credit-granting process whereby candidates may obtain credits for prior learning. Prior learning includes the knowledge competencies and skills acquired, in both formal and informal ways, outside of post-secondary education. Candidates may have their prior learning evaluated against the course learning outcomes as defined in the course outline.
To find out if this course is eligible for PLAR, and how this learning would be assessed, please contact the Program Coordinator for more details.
Academic Regulations
It is the student's responsibility to be aware of the College Academic Regulations. The Academic Regulations apply to all applicants to Humber and all current students enrolled in any program or course offered by Humber, in any location. Information about academic appeals is found in the Academic Regulations.
Anti-Discrimination Statement
At Humber College, all forms of discrimination and harassment are prohibited. Students and employees have the right to study, live and work in an environment that is free from discrimination and harassment. If you need assistance on concerns related to discrimination and harassment, please contact the Centre for Human Rights, Equity and Inclusion or the Office of Student Conduct.
Accessible Learning Services
Humber strives to create a welcoming environment for all students where equity, diversity and inclusion are paramount. Accessible Learning Services facilitates equal access for students with disabilities by coordinating academic accommodations and services. Staff in Accessible Learning Services are available by appointment to assess specific needs, provide referrals and arrange appropriate accommodations. If you require academic accommodations, contact:
North Campus: (416) 675-6622 X5090
Lakeshore Campus: (416) 675-6622 X3331
Academic Integrity
Academic integrity is essentially honesty in all academic endeavors. Academic integrity requires that students avoid all forms of academic misconduct or dishonesty, including plagiarism, cheating on tests or exams or any misrepresentation of academic accomplishment.
Disclaimer
While every effort is made by the professor/faculty to cover all material listed in the outline, the order, content, and/or evaluation may change in the event of special circumstances (e.g. time constraints due to inclement weather, sickness, college closure, technology/equipment problems or changes, etc.). In any such case, students will be given appropriate notification in writing, with approval from the Senior Dean (or designate) of the Faculty.
Given the circumstances due to COVID-19, Humber reserves the right to alter the mode of delivery and examinations/assessments in this course.
Copyright
Copyright is the exclusive legal right given to a creator to reproduce, publish, sell or distribute his/her work. All members of the Humber community are required to comply with Canadian copyright law which governs the reproduction, use and distribution of copyrighted materials. This means that the copying, use and distribution of copyright- protected materials, regardless of format, is subject to certain limits and restrictions. For example, photocopying or scanning an entire textbook is not allowed, nor is distributing a scanned book.
See the Humber Libraries website for additional information regarding copyright and for details on allowable limits.
Humber College Institute of Technology and Advanced Learning • 2021/2022.