FSM840 - Conduct and Practices for Investment Advisors

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Schools offering this subject
Last revision date Sep 30, 2019 12:05:21 AM
Last review date Dec 2, 2019 12:15:03 AM

Subject Title
Conduct and Practices for Investment Advisors

Subject Description
This course will examine the regulatory environment in the securities industry including the Code of Ethics and Standards of Conduct, and regulation and registration. Client interactions are analyzed including account opening procedures, trading conduct, placing orders, communication, and cash and margin accounts. Special situations such as bringing securities to market, maintaining public trading status, takeover bids, insider bids and issuer bids are evaluated.
Pre-requisite: FSM 710
Co-requisite: FSM 810

Credit Status
FSM840 is a required subject in the Financial Services Management Program.

Learning Outcomes
Upon successful completion of this subject the student will be able to:

  1. Adhere to the Code of Ethics and Standard of Conducts of Canadian Securities industry registrant.
  2. Act within Securities industry regulations.
  3. Complete the registration process for securities industry participants.
  4. Represent clients and adhere to regulations when performing:
  1. Accounting opening procedures
  2. Sales and trading activities
  3. Securities order
  4. Cash and margin account transactions
  5. Client communications
  1. Evaluate special products and transactions including new issues, takeover, insider, and issuer bids.
  2. Define and apply ethics and social responsibility both individually and at the corporate level when making decisions.

Academic Integrity
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Please visit the Academic Integrity website http://open2.senecac.on.ca/sites/academic-integrity/for-students to understand and learn more about how to prepare and submit work so that it supports academic integrity, and to avoid academic misconduct.

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Accommodation for Students with Disabilities
The College will provide reasonable accommodation to students with disabilities in order to promote academic success. If you require accommodation, contact the Counselling and Accessibility Services Office at ext. 22900 to initiate the process for documenting, assessing and implementing your individual accommodation needs.