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Financial Planning Services Ontario College Diploma

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  • Objectives
    This is the only two-year, Ontario College Diploma program which fully prepares a graduate to enter the industry. Upon completion of the program, you will have completed the educational requirements to write the final exams for mutual fund sales, the Certified Financial Planner® certification, and the Life License Qualification Program (LLQP) for life insurance sales. Some students will also write the Canadian Securities Course (CSC) ® exam upon completion.
  • Practical experience
    This is a two year program with optional co-op.
  • Academic Title
    Financial Planning Services Ontario College Diploma
  • Course description
    Level 1    Credits
    Take all of the following Mandatory Courses:
    • ACCT-1004    Principles of Accounting 1     4.00
    • WRIT-1032    Reason & Writing - Business 1     3.00
    • MKTG-1012    Principles of Marketing I     3.00
    • MATH-1052    Business Math     3.00
    • BUSI-1060    Strategies for Success     1.00
    • BUSI-1005    Introduction to Business Processes     3.00

    Level 2    Credits
    Take all of the following Mandatory Courses:
    • ECON-1019    Contemporary Issues in Economics     3.00
    • COMM-3020    Professional Communication     3.00
    • FINA-1025    Individual Taxation     3.00
    • MATH-1057    Mathematics of Finance-Accounting     4.00
    • FINA-6003    Consumer Credit     3.00
    • FINA-1035    Investment Funds in Canada     3.00

    Level 3    Credits
    Gen Ed - Take a 3 credit General Education elective course
    Take all of the following Mandatory Courses:
    • FINA-1024    Financial Planning     4.00
    • FINA-3030    Tax Planning     3.00
    • BUSI-1068    Effective Meetings & Presentations     3.00
    • FINA-3032    Investment in Canada     4.00
    • LAWS-3018    Ethics and Law     3.00

    Level 4    Credits
    Take all of the following Mandatory Courses:
    • INSR-3014    Life & Health Insurance Planning     4.00
    • FINA-1012    Risk Management and Estate Planning     3.00
    • FINA-1013    Retirement Planning     3.00
    • FINA-1011    Investment Management     3.00
    • FINA-3036    Comprehensive Financial Plan     3.00
    • MKTG-1021    Sales and Service     3.00

    Gen Ed - Electives

    Take 3 General Education Credits -
    Normally taken in Level 3

    ACCT-1004 -  Principles of Accounting 1

    This course introduces the student to the subject of Accounting and is designed to teach the student an essential life skill. The course focuses on the concept of accounting and its connection to students’ financial well being. The student will learn a basic understanding of accounting and its importance to business success.

    BUSI-1005 -  Introduction to Business Processes

    The purpose of this course is to explore the various functional areas of business in Canada and to demonstrate the interrelationship among these areas. Students are introduced to many concepts, including major business trends, the role of government in business, marketing, operations, employee-management issues, financial resources management, business ethics, social responsibility and community-related philanthropy.

    BUSI-1060 -  Strategies for Success
    This course presents and helps to develop some of the skills required to achieve college and career success. Areas of focus include: goal-setting, time management, note-taking from texts and lectures, study skills, test preparation strategies, and managing college life.

    BUSI-1068 -  Effective Meetings & Presentations
    The primary objective of this course is to provide students with an opportunity to develop many of the business skills that the School of Business aims to cultivate in each student. Those skills include critical thinking and problem solving; verbal and written communication skills including the effective use of PowerPoint and multimedia; team work; personal initiative; business research and analysis; and ethical, social, historical, and global awareness. To help students develop these skills, the course will involve team work, presentations, role playing in simulated business meetings using Robert’s Rules of Order, class participation, and tests.

    COMM-3020 -  Professional Communication
    This course develops students’ literacy and professional communication skills. Students focus on key issues and convey relevant meaning in oral and written formats. Main topics include writing in a variety of short report and other relevant business documents (like letters, memos, short reports); communicating in groups (including meetings); awareness of multicultural communication and diverse audiences; the job search (including résumés and cover letters); business rhetoric in speaking and writing; summarizing and evaluating current business-related readings; delivering oral presentations; researching and documenting research reports applying an acceptable documentation style to written material; and self-editing skills. Students use a computer lab for writing assignments throughout this course.

    ECON-1019 -  Contemporary Issues in Economics

    This course introduces students to the structure and function of our economic system. The course will develop an understanding of the principles of both micro and macroeconomic activity through modeling and analysis. Students will examine the role that households (consumers), industry (producers) and governments play in a modern economic system and how the decisions by these different levels affect all of our lives. The course is structured to provide insight through lectures, discussions and current events.

    FINA-1011 -  Investment Management
    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. FINA1011 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.

    FINA-1012 -  Risk Management and Estate Planning

    This course reviews and discusses the importance of tools such as wills, powers of attorney and trusts in estate planning, as well as the preservation and the inter-generational transfer of personal and business assets.

    FINA-1013 -  Retirement Planning
    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-1024 -  Financial Planning

    The course introduces students to the segmented topics of personal financial planning- the Financial Planning Process, Professional Conduct, the Time Value of Money, Financial Statements and Analysis, Investment Fundamentals and Financial Management. Included in this course is the requirement to complete several assignments related to the segments of a comprehensive financial plan. The comprehensive financial plan will be compiled and submitted in the final semester of the program.

    FINA-1025 -  Individual Taxation

    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 tax, employment, business, property, capital gains, other income, deductions, tax credits and the calculation of taxes payable for individuals resident in Canada. Upon successful completion of the course, the student will be able to prepare personal income tax returns using Profile T1 commercial software.

    FINA-1035 -  Investment Funds in Canada
    The Investment Funds in Canada course completes the educational requirements for those wanting to enter the financial services industry to sell mutual funds. It offers and overview of the investment market; its regulations; its products, with specific reference to mutual funds, and an understanding of the challenges surrounding investment suitability. This helps students understand potential client needs and their interest in investment opportunities. Included in this course is an exam preparation guide, in addition to practice exams and online QandA.

    FINA-3030 -  Tax Planning
    This course continues to look at the Canadian income tax system as it pertains to individuals. It explores advanced concepts related to personal tax affairs and tax planning strategies.

    FINA-3032 -  Investment in Canada

    Any Canadian resident who wishes to be licensed to sell securities or advise clients on security investments must complete the Canadian Securities Course. FINA3032 has the same content as Volume I of the Canadian Securities Course and covers wealth, investment, capital markets, intermediation, industry participants, macroeconomics, government and corporate finance, public and self regulation, analysis of financial statements, debt securities, equity securities, and derivatives.

    FINA-3036 -  Comprehensive Financial Plan
    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 CFP® courses in the program and tie the analysis together in order to develop a single financial plan for the client. The six step process will be followed in conjunction with the CFP® code of ethics and practice standards.

    FINA-6003 -  Consumer Credit

    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.

    INSR-3014 -  Life & Health Insurance Planning
    This course is an introduction to the Canadian insurance industry and is a preparatory course for Provincial licensing requirements, for those who wish to sell Life insurance and other life insurance products in Canada. Topics discussed in this course include various insurance products, such as individual and group life as well as accident and sickness products. Also covered are topics such as underwriting and claims processes, the risk management process, including needs analysis, and legal and professional standards.

    LAWS-3018 -  Ethics and Law

    An examination of the principles of Canadian business law with a focus on commercial purchasing issues including contract, personal and commercial liability and fiduciary obligations.

    MATH-1052 -  Business Math

    This course provides a review of basic arithmetic and algebra as well as providing students with mathematical tools and concepts needed for other college courses and in future employment. This course is to prepare students for later courses in Marketing, Business, Financial Planning, Accounting, Purchasing and Insurance.

    MATH-1057 -  Mathematics of Finance-Accounting

    This course explains the time value of money calculations used in Mathematics of Finance. It covers topics such as simple interest, compound interest, annuities-simple and general, bonds and cost-benefit analysis.

    MKTG-1012 -  Principles of Marketing I
    This course is designed to provide an overview of the decisions that face Marketers in today's fast-paced and competitive business environment. Students will learn that marketing is not only advertising but a broad set of activities designed to satisfy consumer needs and wants. Students begin by examining the information Marketers require for effective decision-makingin order to develop effective marketing strategies. Students will then study product planning, channel system management, integrated communications and pricing policies.

    MKTG-1021 -  Sales and Service
    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.

    WRIT-1032 -  Reason & Writing - Business 1
    This course will introduce business students to essential principles of reading, writing, and reasoning at the postsecondary level. Students will identify, summarize, analyze, and evaluate multiple short readings and write persuasive response essays to develop their vocabulary, comprehension, grammar, and critical thinking. This course will also introduce students to selected business terms.

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