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PFP® Approved Under FSRA Title Regulation
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What will you learn about?
- The financial markets and mutual fund industry
- Your role as a mutual fund sales representative
- The importance of the “Know Your Client” rule and how to apply it
- Client focused reforms
- Analyzing the risk-return relationship of investments
- Explaining the process of creating and managing investment portfolios that meets client’s needs
- The different types of mutual funds
- The function of exchanges and clearinghouses
- Assessing mutual funds performance and fee structure
What is the course syllabus?
Chapter 1 - The Role of the Mutual Fund Sales Representative
Topics covered in this chapter are:
- How has the Mutual Fund Industry Evolved?
- What is the Value in Licensing?
- Why Provide Excellent Client Service?
- Why is Understanding your Clients and Products Important?
- Why are The Know Your Client Rule and Suitability Important?
- What is the Role of a Mutual Fund Sales Representative?
- Mutual Fund Sales in Practice
Chapter 2 - Overview of the Canadian Financial Marketplace
Topics covered in this chapter are:
- What is Investment Capital?
- What are the Financial Instruments?
- What are the Financial Markets?
- Who are the Different Financial Intermediaries?
- What is the Canadian Securities Regulatory Framework?
Chapter 3 - Overview of Economics
Topics covered in this chapter are:
- What is Economics?
- How is Economic Growth Measured?
- What are the Phases of the Business Cycle?
- What are the Key Labour Market Indicators?
- What Role do Interest Rates Play?
- What is the Nature of Money and Inflation?
- How do Fiscal and Monetary Policies and International Economics Impact the Economy?
Chapter 4 - Getting to Know the Client
Topics covered in this chapter are:
- Why are Client Communication and Planning Important?
- What is the Financial Planning Approach?
- What are the Steps in the Financial Planning Process?
- What is the Life-Cycle Hypothesis?
Chapter 5 - Behavioural Finance
Topics covered in this chapter are:
- Investor Behaviour
- How do Representatives Apply Bias Diagnoses when Structuring Asset Allocations?
Chapter 6 - Tax and Retirement Planning
Topics covered in this chapter are:
- How does the Canadian Taxation System Work?
- What are the Main Pension Plans in Canada?
- What are Tax Deferral Plans?
Chapter 7 - Types of Investment Products and How They Are Traded
Topics covered in this chapter are:
- What are Fixed-Income Securities?
- What are the Fundamentals of Bond Pricing and Properties?
- What are Equity Securities?
- How are New Securities Brought to Market?
- What are Derivative Securities?
Chapter 8 - Constructing Investment Portfolios
Topics covered in this chapter are:
- What is Risk and Return?
- What are the Impacts of Economic Conditions in Comparing Returns?
- How to Calculate a Return
- How to Measure Risk
- What is Portfolio Analysis?
- How are Portfolios Managed?
- What are the Methods of Analysis?
Chapter 9 - Understanding Financial Statements
Topics covered in this chapter are:
- What are the Financial Statements?
- What is the Statement of Financial Position?
- What is the Statement of Comprehensive Income?
- What is the Statement of Changes in Equity?
- What is Financial Statement Analysis?
Chapter 10 - The Modern Mutual Fund
Topics covered in this chapter are:
- What is a Mutual Fund?
- How are Mutual Funds Organized?
- How are Mutual Funds Regulated?
Chapter 11 - Conservative Mutual Fund Products
Topics covered in this chapter are:
- What are Money Market Mutual Funds?
- What are Mortgage Mutual Funds?
- What are Bond and Other Fixed-Income Funds?
Chapter 12 - Riskier Mutual Fund Products
Topics covered in this chapter are:
- What are Equity Mutual Funds?
- What are Balanced Mutual Funds?
- What are Global Mutual Funds?
- What are Specialty Mutual Funds?
Chapter 13 - Alternative Managed Products
Topics covered in this chapter are:
- What are Principal-Protected Notes?
- What are Hedge Funds?
- What are Closed-End Funds?
- What are Exchange-Traded Funds?
- What are Segregated Funds?
Chapter 14 - Understanding Mutual Fund Performance
Topics covered in this chapter are:
- How is Portfolio Performance Evaluated?
- How is Performance Assessment Conducted?
- How is a Comparison Universe Used?
- How is Quartile Ranking Used?
Chapter 15 - Selecting a Mutual Fund
Topics covered in this chapter are:
- How does Volatility impact Mutual Fund Returns?
- What are the Steps in Selecting a Mutual Fund?
- What Other Elements should be Considered when Analyzing and Selecting Mutual Funds?
Chapter 16 - Mutual Fund Fees and Services
Topics covered in this chapter are:
- What are the Fees and Charges of Mutual Funds?
- What are Accumulation Plans?
- What are Systematic Withdrawal Plans?
- How are Mutual Funds Taxed?
Chapter 17 - Mutual Fund Dealer Regulation
Topics covered in this chapter are:
- What are the Mandate and Scope of Securities Administrators?
- What are Self-Regulatory Organizations?
- What are the Registration Requirements?
- How do Representatives and Dealers meet the Know Your Client Rules?
- What are the Steps in Opening a Mutual Fund Account?
- What are the Prohibited Selling Practices?
- What are the Rules for Communications with Clients?
- What are Your Other Legal Responsibilities?
Chapter 18 - Applying Ethical Standards to What You Have Learned
Topics covered in this chapter are:
- What are Ethics and the Standard of Conduct?
- How to Apply What You’ve Learned to Case Studies
Course Completion, Wall Certificate and Digital Badge
Upon successfully completing this course, you will be able to download a Notice of Course Completion available through your student profile. This will remain on your profile as formal confirmation of course completion.
You can also accept a digital badge through your student profile after successful course completion. Digital badges are portable image files that allow you to share your credentials across the web. You can post them to your email signature, personal website, social media channels—even to electronic copies of your resume.
CSI will mail you a wall certificate within 4 – 6 weeks of course completion. Frames to display your certificate are available. Please ensure that your First and Last Name on your profile matches your First and Last Name on your Government Issued Photo identification – this will ensure you receive an accurate certificate.
CSI will be pleased to issue an Honours Certificate to all students who obtain a final course mark of 85% or higher.