Category Credits: 1 Financial Planning Credit for FP Canada + 1 Business Conduct - Ethics Credit for MFDA

Financial advisors usually deal with retail clients and the branch or investment company level. They provide one on one support to the client. They establish a relationship, collect data, analyze the data and give recommendations for achieving the client objectives. This course elaborates the steps to maintain a positive relationship with the clients and walks through the financial planning process. It provides a list of the information that should be gathered from the client. It helps to understand the process for the financial planning house.  The life cycle hypothesis provides a guideline for the types of discussions that should be undertaken at certain stages of the client’s life. Ethics and the advisor’s standard of conduct are reviewed. 

The second part of the course reviews the key concepts when a financial advisor works with an institutional client. The sell side and buy side of the market are reviewed in detail. Various careers in finance are described. Some concepts such as direct electronic access, axe sheets, merchant banking, prime brokerage, high frequency trading, dark pools, equity trading services, program trading, structured finance and futures and options trading are described. 

Students must pass the final exam before a certificate will be issued.  

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