RFC223 - Ethics and Marketing of Financial Products

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Last revision date Sep 30, 2019 12:06:53 AM
Last review date Dec 2, 2019 12:15:03 AM

Subject Title
Ethics and Marketing of Financial Products

Subject Description
This subject identifies the concepts, ideas and strategies for the marketing and selling of financial products, services and expertise by the financial planner to the public. The Financial Planning Standards Council Code of Ethics is studied. Topics will include prospecting, developing a market plan, client communications and practice concerns.

Credit Status
One credit.

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

  1. Accurately explain either orally or as a written project, the importance of the Financial Planning Standards Council of Canada Code of Ethics for the financial planner and the implications that this document has in the financial planning process.
  2. Working effectively in a small group, prepare a written marketing plan for financial planning services, identifying a marketing strategy which includes the identification and analysis of potential business opportunities/target market, and strategies for developing prospective clients.
  3. Write document(s) and/or deliver presentation(s) that present a clear and concise summary of the steps in the selling process.
  4. Market ideas and/or a service, by presenting persuasively verbally and/or in writing, using the following techniques:
  •  Dealing with sales objections
  •  Demonstrating the ability to close
  1. Produce professional looking documents containing text, and computer generated graphics and tables by selecting and using the relevant features of an up-to-date word processing or desktop publishing package that enhance the clarity of the documents.
  2. Perform research on topics on vocational or personal relevance by identifying the information needed and using the available technology to access and retrieve the information online.

Academic Integrity
Seneca upholds a learning community that values academic integrity, honesty, fairness, trust, respect, responsibility and courage. These values enhance Seneca's commitment to deliver high-quality education and teaching excellence, while supporting a positive learning environment. Ensure that you are aware of Seneca's Academic Integrity Policy which can be found at: http://www.senecacollege.ca/about/policies/academic-integrity-policy.html Review section 2 of the policy for details regarding approaches to supporting integrity. Section 2.3 and Appendix B of the policy describe various sanctions that can be applied, if there is suspected academic misconduct (e.g., contract cheating, cheating, falsification, impersonation or plagiarism).

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.

All students and employees have the right to study and work in an environment that is free from discrimination and/or harassment. Language or activities that defeat this objective violate the College Policy on Discrimination/Harassment and shall not be tolerated. Information and assistance are available from the Student Conduct Office at student.conduct@senecacollege.ca.

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.