Financial Planning Services

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Courses - May 2025

Level 1

Course details

Client Communication
BUS8148

Description:

In this course, students will learn to construct comprehensive business reports and to develop effective presentations to communicate the results of their research. They will also learn to construct appropriate business communications that will permit them to professionally present themselves and their position.

This course will focus on communicating effectively with clients to keep them informed, help forge long term relationships, and to monitor client needs. Students will focus on the skills of active listening to ensure accurate information gathering, reduced misunderstandings, and increased rapport. Students will prepare and practice for presentations in a variety of settings including one-on-one, small groups and large audiences with a view to building confidence and professionalism.

  • Hours: 56
  • Credits: 4
  • Pre-Requisites:
  • CoRequisites:

Conestoga 101
CON0101

Description: This self-directed course focuses on introducing new students to the supports, services, and opportunities available at Conestoga College. By the end of this course, students will understand the academic expectations of the Conestoga learning environment, as well as the supports available to ensure their academic success. Students will also be able to identify on-campus services that support their health and wellness, and explore ways to get actively involved in the Conestoga community through co-curricular learning opportunities.
  • Hours: 1
  • Credits: 0
  • Pre-Requisites:
  • CoRequisites:

Investments & Securities I
FIN8070

Description: This is the first of two courses that explore the Canadian securities industry and introduces students to its foundational concepts. It is offered in conjunction with Canadian Securities Institute’s Canadian Securities Course – an industry requisite for attaining an investment representative or registered representative license. Topics covered include: capital markets and the financial services industry; the Canadian economy, economic policy, and its impact on financial markets; financing, listing and regulations of issuing securities in the market; analyzing financial statements; fixed income markets, equity markets, and derivatives.
  • Hours: 56
  • Credits: 4
  • Pre-Requisites:
  • CoRequisites:

Life and Health Insurance
FIN8123

Description:

This course focuses on the Life and Health Insurance Industry in Canada and is a preparatory course for the Ontario Life Licensing Qualification Program (LLQP) for those students wishing to obtain their Life and Health insurance license. Emphasis is placed on utilizing insurance products as a method to manage risk. Topics covered include life insurance contracts, disability insurance, group insurance, critical illness insurance long-term care and extended insurance products as well as the underwriting process. Insurance needs analysis, professional conduct standards and the application of insurance to the small business market will also be covered. The course also addresses investment products and retirement income strategies offered by Life Insurance companies,

  • Hours: 70
  • Credits: 5
  • Pre-Requisites:
  • CoRequisites:

Financial Planning Essentials
FIN8196

Description:

This course is designed to introduce students to the Financial Planning industry, and the role of the Financial Planner. Upon successful completion of this course, students will be able to identify and implement best practices in the key areas of financial planning: Budgeting and Borrowing, Personal Financial Statements, Taxes, Investments, Retirement, Risk Management and Estate Planning.

  • Hours: 56
  • Credits: 4
  • Pre-Requisites:
  • CoRequisites:

Tax Strategies For Financial Planners
FIN8211

Description: The student is provided with a financial planner’s working knowledge of the Income Tax Act. Topics covered include differential tax rates for business income, employment income, dividends and capital gains and how they impact investments, retirement planning through RRSP’s and pension plans, and estate planning through the tax free pass-through of insurance proceeds.
  • Hours: 56
  • Credits: 4
  • Pre-Requisites:
  • CoRequisites:

Level 2

Course details

Entrepreneurship for Financial Planners
ENTR8021

Description: This course provides students the opportunity to integrate concepts gained throughout the program. Students will produce a professional and comprehensive Business Plan for their own financial services practice. The Business Plan will demonstrate each student’s ability to conduct industry research and to document their results in a succinct, professional report. This course will also allow students to enhance their sales and presentation skills. Focus will also include understanding client behaviour, classroom discussions, and role play sessions designed to develop the skills required to succeed as an advisor in the financial planning industry.
  • Hours: 70
  • Credits: 5
  • Pre-Requisites:
  • CoRequisites:

Investments and Securities II
FIN8080

Description: This is the second of two courses that explore the Canadian securities industry and introduces students to its foundational concepts. It is offered in conjunction with Canadian Securities Institute’s Canadian Securities Course – an industry requisite for attaining an investment representative or registered representative license. Topics covered include: analyzing markets and products through fundamental, technical, and company analysis; concepts of asset allocation and portfolio management, portfolio-based investments such as mutual funds, ETFs, segregated funds, hedge funds, and financial planning, industry-related concepts such ethics and taxation, account types, and working within the industry.
  • Hours: 56
  • Credits: 4
  • Pre-Requisites:
  • CoRequisites:

Financial Planning with Technology
FIN8167

Description:

This course allows the student to demonstrate the skills of selling and marketing in the financial services industry. This includes awareness of buyer behaviour, the ability to organize an effective sales presentation, the ability to develop and present an effective financial plan and demonstrate the skills and attitudes essential to the successful salesperson. Course includes a lab component designed to permit students to apply their knowledge through use of a variety of financial planning software.

  • Hours: 42
  • Credits: 3
  • Pre-Requisites:
  • CoRequisites:

Advanced Financial Planning
FIN8201

Description: This course requires students to develop a familiarity with the Fundamental Financial Planning Practices of the CFP profession. These planning practices include specific technical knowledge and professional skills, which form required competencies of the CFP professional. Students will learn the key aspects of analysis from each of the six planning areas, and develop an appreciation of the FPC stringent requirements of the CFP professional as it relates to ethical principles and professional standards.
  • Hours: 84
  • Credits: 6
  • Pre-Requisites:
  • CoRequisites:

Applied Ethics in Financial Services
FIN8340

Description:

Successful financial planners place ethical conduct at the core of their dealings with clients, colleagues, and financial institutions. This course examines codes of conduct, ethical behaviour, and standards of professional practice in the Canadian financial services industry. Provincial regulatory rules pertaining to compliance and ethical practice will also be examined to ensure graduates are aware of industry rules and expectations.

  • Hours: 42
  • Credits: 3
  • Pre-Requisites:
  • CoRequisites:

Program outcomes

  1. Integrate ethical decision-making practices into all aspects of the 6-step financial planning process.
  2. Apply recognized financial planning principles and industry standards to the systematic analysis of financial position and requirements.
  3. Prepare accurate and relevant financial plans both manually and using financial planning software.
  4. Evaluate a client’s personal finances, needs and goals to generate effective financial planning options based on the current economic environment.
  5. Recommend financial products and services that meet client goals based on available market options.
  6. Develop strategies to establish and maintain relationships with clients to market and sell financial products and services.
  7. Recognize potential tax and legal implications within a financial planning situation.
  8. Communicate effectively, orally and in writing, with clients both in person and virtually.
  9. Research market opportunities to develop an advisor business plan designed to start a financial services practice.
  10. Provide recommendations and options for managing risk involving life and health insurance products.