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FSP204 - Ethics, Compliance and Professional Development
This course introduces the student to the ethical standards, compliance requirements and professional standards for conduct in the financial services industry in Canada. Students will examine the regulatory environment, requirements to be a financial services advisor, client rights, privacy, anti-money laundering requirements and terrorist financing requirements. The course will also engage the students in an understanding of how to operate a financial services business, in light of these requirements, from a practical business conduct perspective.

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Fall 2010 Summer 2010 Winter 2010 Fall 2009 Summer 2009 Winter 2009 Fall 2008 Summer 2008 Winter 2008 Fall 2007 Summer 2007 Winter 2007 Fall 2006 Summer 2006 Winter 2006 Fall 2005 Summer 2005 Winter 2005 Fall 2004 Summer 2004 Winter 2004 Fall 2003 Summer 2003 Winter 2003 Fall 2002 Summer 2002 Winter 2002 Fall 2001 Summer 2001 Winter 2001 Fall 2000 Summer 2000 Winter 2000 Fall 1999 Summer 1999 Winter 1999 Fall 1998 Summer 1998 Winter 1998 Fall 1997 Summer 1997 Winter 1997

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