Canadian Securities Course

Curriculum guideline

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Course
FINC 3350
Discontinued
No
Course code
FINC 3350
Descriptive
Canadian Securities Course
Department
Finance
Faculty
Commerce & Business Administration
Credits
3.00
Start date
End term
201420
PLAR
No
Semester length
15 Weeks X 4 Hours per Week = 60 Hours
Max class size
35
Contact hours
Lecture: 3 Hours Seminar: 1 Hours Total: 4 Hours
Method(s) of instruction
Lecture
Seminar
Learning activities

Material will be presented within a lecture/discussion/application environment.

Course description
This course is developed by the Canadian Securities Institute and provides the student
with comprehensive knowledge of the overall organization and function of Canadian securities markets. Major
areas covered are capital markets, financing, listing and regulation, fixed income securities, equities,
derivatives, analysing markets and products, portfolio management and evaluation, mutual funds, managed
accounts, hedge funds and financial planning and taxation. To obtain the CSC certificate, students will be required to complete a Canadian Securities Institute registration form and submit with payment to the CSI in order to be eligible to write Volume1 and Volume 2 institute exams.
Course content
  1. Characteristics, needs, users and sources of investment capital.
  2. Characteristics and processes of financing. Analysis of underlying principles of securities legislation and self-regulatory organizations.
  3. Types of business structures. Understanding financial statements that apply to various types of businesses.
  4. Principles, features and types of bonds.
  5. Characteristics and types of equities. Rights and advantages of common share ownership.
  6. Rights and warrants, options, futures and forwards.
  7. Fundamental, quantitative and technical analysis of markets and products.
  8. The portfolio process. Designing investment policy, developing and implementing an asset mix.
  9. Advantages and disadvantages of mutual funds. Structure, redemption and regulation of funds.
  10. Structure, regulation and administration of segregated funds.
  11. Portfolios Theory, benefits, risks and strategies of hedge funds.
  12. Process, ethics and standards of conduct in the financial planning process.
Learning outcomes
  1. Explain and describe structure of capital markets and financial services.
  2. Identify the process for financing and listing.
  3. Identify financial statements and their applications to the various business structures.
  4. Demonstrate features of various types of fixed income securities.
  5. List and describe the different types of equity securities.
  6. List and explain the various types of derivative securities and their features.
  7. Describe the methods for analysing markets and products.
  8. Demonstrate the principles and methods which apply to the portfolio approach to investing.
  9. Identify and describe the various types of mutual funds, their structures and pricing.
  10. Describe the features and uses of specialized funds and products.
  11. Identify and explain the features of hedge funds and how they differ from mutual funds.
  12. Demonstrate basic concepts of financial planning and relationship-building between client and advisor.
Means of assessment
Midterm exams (2)         40%
Term Project  20%
Quizzes  10%
Final Exam  30%
Total 100%

                                 

Textbook materials

Textbooks and Materials to be Purchased by Students

 

Canadian Securities Course Volume I & II, Latest Edition. Toronto. Canadian Securities Institute

Texas Instruments BA II Plus business calculator

Prerequisites

(ACCT 1210 or ACCT 1235) and (FINC 2255 or FINC 2340)