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1. Organization and Program Information Appendix 1.1. Submission Title Page

Full Legal Name of Organization: Dalhousie University Operating Name of Organization: Dalhousie University Common Acronym of Organization (if applicable): DAL URL for Organization Homepage (if applicable): http://www.dal.ca/ Proposed Degree Nomenclature: Master of Business Administration (Financial Services) Location (specific address) where program to be delivered (each location requires a location-specific consent from the Minister): Halifax, NS; Toronto, ON; Scarborough, ON; Calgary AB, Vancouver, BC Contact Information: Person Responsible for this Submission: Name/Title: Ron Stubbert, Assistant Dean, Administrative Full Mailing Address: Dalhousie University Faculty of Management 6100 University Avenue, Suite 3050 Halifax, NS B3H 3J5 Telephone: (902) 494-1183 Fax: (902) 494-1195 E-mail: ron.stubbert@dal.ca Site Visit Coordinator (if different from above):** Name/Title: Michelle Hunter Full Mailing Address: 6100 University Avenue, Suite 3100 Telephone: (902) 494-1828 Fax: (902) 494-5164 E-mail: michelle.hunter@dal.ca Anticipated Start Date: Program started in 1996 Anticipated Enrolment for the first 4 years of the program: (Program launched in 1996 with 95 enrolled students) Enrolment numbers are based on the last four years – anticipate a steady enrolment of 200 -250 for the next 4 years. Year 1 Fall 2006 = __228; Year 2 Fall 2007 = ___242_; Year 3- Fall 2008 = _244___; Year 4 – Fall 2009 = 234___ Initial Tuition Fee: $ __2550.00/course___ (Part Time studies ) * The person who is the primary contact for the submission on matters pertaining to proposal content and communications from the Postsecondary Education Quality Assessment Board. ** This person will be the organization’s liaison for coordinating the site visit.

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Table of Contents Appendix 1.2 Table of Contents

1. Organization and Program Information .......................................................................................... 1

Appendix 1.1. Submission Title Page ................................................................................................... 1 Appendix 1.2 Table of Contents ........................................................................................................... 2

2. Executive Summary ........................................................................................................................... 4 Appendix 2.1 Executive Summary ....................................................................................................... 4

3. Program Abstract .............................................................................................................................. 7 Appendix 3.1 Program Abstract ........................................................................................................... 7

4. Program Degree- Level Standard .................................................................................................... 8 Appendix 4.1 Degree Level Summary ................................................................................................. 8 Appendix 4.2 Sample of Student Work .............................................................................................. 10

5. Admissions, Promotion, Graduation Standard............................................................................. 11 Appendix 5.1.1 Admission Requirements Direct Entry ..................................................................... 18 Appendix 5.1.2 Admission Policies and Procedures for Mature Students ......................................... 19 Appendix 5.2.1 Credit Transfer/Recognition Policies and Procedures .............................................. 20 Appendix 5.2.2 Advanced Placement Policies ................................................................................... 25 Appendix 5.2.3 Degree Completion Arrangements ........................................................................... 50 Appendix 5.2.4 Gap Analysis ............................................................................................................. 51 Appendix 5.2.5 Bridging Courses ...................................................................................................... 52 Appendix 5.3 Promotion and Graduation Requirements .................................................................... 53

6. Program Content Standard ............................................................................................................ 64 Appendix 6.1 Program Advisory Committee ..................................................................................... 64 Appendix 6.1.1. Program Advisory Committee Membership ............................................................ 65 Appendix 6.1.2 Program Advisory Committee Minutes .................................................................... 68 Appendix 6.2.1 Professional/Accreditation or Other Requirements .................................................. 69 Appendix 6.3.1 Program Level Learning Outcomes .......................................................................... 70 Appendix 6.3.2 Course Descriptions .................................................................................................. 77 Appendix 6.3.3.1 Program Hour/Credit Conversion Justification ..................................................... 80 Appendix 6.3.3.2 Undergraduate Academic Course Schedule ........................................................... 81 Appendix 6.3.3.3 Graduate Academic Course Schedule Information ................................................ 82 Appendix 6.4 Course Outlines ............................................................................................................ 84 Appendix 6.5.1 Support for Work Experience ................................................................................... 87

7. Program Delivery Standard ............................................................................................................. 88 Appendix 7.1 Quality Assurance for Program Delivery ................................................................... 88 Appendix 7.1.2 Policy on Student Feedback .................................................................................... 121

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Appendix 7.1.3 Student Feedback Instruments ................................................................................ 124 Appendix 7.2.2 Academic Community and online learning ............................................................ 145

8. Capacity to Deliver Standard ........................................................................................................ 147 Appendix 8.1 Legal Characteristics .................................................................................................. 147 Appendix 8.2 Governance Structure ................................................................................................. 148 Appendix 8.3.1 Coordinated Business and Academic Plans to Support Program Quality .............. 150 Appendix 8.3.2 Administrative Staff ................................................................................................ 151 Appendix 8.4 Participation in Academic Policies and Standards ..................................................... 153 Appendix 8.5.1 Library Resources ................................................................................................... 156 Appendix 8.5.2 Computer Access .................................................................................................... 167 Appendix 8.5.3 Classroom Space ..................................................................................................... 177 Appendix 8.5.4 Laboratories/Equipment ......................................................................................... 180 Appendix 8.6 Resource Renewal ...................................................................................................... 181 Appendix 8.7 Support Services ........................................................................................................ 182 Appendix 8.8 Policies on Faculty ..................................................................................................... 186 Appendix 8.9.2 Curriculum Vitae of Current Faculty Assigned to Degree Program ....................... 191 Appendix 8.9.2 (E) Curriculum Vitae for On-line Learning Professional and Technical Staff ....... 289 Appendix 8.10 Enrolment Projections and Staffing Implications .................................................... 290

9. Credential Recognition ............................................................................................................... 290 10. Regulation and Accreditation Standard ..................................................................................... 293 11. Program Evaluation Standard ................................................................................................... 294

Appendix 11.1 Program Evaluation Policies and Procedures .......................................................... 294 12. Academic Freedom and Integrity Standard .............................................................................. 295

Appendix 12.1.1 Academic Freedom Policy .................................................................................... 295 Appendix 12.1.2 Academic Honesty Policy ..................................................................................... 296 Appendix 12.1.3 Academic honesty Procedure ................................................................................ 303 Appendix 12.2 Policy on Intellectual Policies .................................................................................. 307 Appendix 12.3 Policy on Ethical Research Practices ....................................................................... 310

13. Student Protection Standard ....................................................................................................... 316 Appendix 13.1 Academic Calendar Information .............................................................................. 316 Appendix 13.2 Student Protection Policies ...................................................................................... 317 Appendix 13.2.1 Dispute Resolution ................................................................................................ 319 Appendix 13.2.2 Fees and Charges .................................................................................................. 320 Appendix 13.2.3 Student Dismissal.................................................................................................. 321 Appendix 13.2.4 Withdrawals and Refunds ..................................................................................... 322 Appendix 13.3 Student Protection Information ................................................................................ 323

Section of Submission Content to Be Included

Binder Tab

� Quality Assessment Panel Nominees 1. Title Page 1 � Appendix 1.1 Submission Title Page

� Appendix 1.2 Table of Contents 2. Executive Summary 2 � Appendix 2.1 Executive Summary 3. Program Abstract 3 � Appendix 3.1 Program Abstract 4. Program Degree-Level Standard 4 � Appendix 4.1 Degree Level Summary

� Appendix 4.2 Samples of Student Work 5. Admissions, Promotion, Graduation Standard 5 � Appendix 5.1.1 Admissions Requirements Direct Entry

� Appendix 5.1.2 Admissions Policies and Procedures for Mature Students

� Appendix 5.2.1 Credit Transfer/Recognition Policies and Procedures

� Appendix 5.2.2 Advanced Placement Policies

� Appendix 5.2.3 Degree Completion Arrangements

� Appendix 5.2.4 Gap Analysis

� Appendix 5.2.4 Bridging Courses � Appendix 5.3 Promotion and Graduation Requirements 6. Program Content Standard 6 � Appendix 6.1.1 Program Advisory Committee Membership

� Appendix 6.1.2 Program Advisory Committee Minutes

� Appendix 6.2.1 Professional/Accreditation or Other Requirements

� Appendix 6.2.2 Letters of Support: Professional/Accreditation or Other Requirements (N/A)

� Appendix 6.3.1 Program Level Learning Outcomes

� Appendix 6.3.2 Course Descriptions

� Appendix 6.3.3.1 Program Hour/Credit Conversion Justification � Appendix 6.3.3.2 (A and/or B) Undergraduate Academic Course Schedule(s)

� Appendix 6.3.3.3 (A and/or B) Graduate Academic Course Schedule (s)

� Appendix 6.4. Course Outlines

� Appendix 6.5.1 Support for Work Experience

� Appendix 6.5.2 Work Experience Outcomes and Evaluation 7. Program Delivery Standard 7 � Appendix 7.1.1 Quality Assurance Policies

� Appendix 7.1.2 Policy on Student Feedback

� Appendix 7.1.3 Student Feedback Instruments

� Appendix 7.2.1 On-Line Learning Policies and Practices

� Appendix 7.2.2 Academic Community Policies 8. Capacity to Deliver Standard 8 � Appendix 8.1 Legal Characteristics

� Appendix 8.2.1 Governance and Administrative Structure

� Appendix 8.2.1 Responsibilities of Governing Bodies

� Appendix 8.2.3 Reporting Structure

� Appendix 8.3.1 Coordinated Business and Academic Plans

� Appendix 8.3.2 Administrative Staff

� Appendix 8.4 Participation in Academic Policies and Standards

� Appendix 8.5.1 Library Resources

� Appendix 8.5.2 Computer Access

� Appendix 8.5.3 Classroom Space

� Appendix 8.5.4 Laboratories/Equipment (where applicable)

� Appendix 8.6 Resource Renewal and Upgrading

� Appendix 8.7 Support Services

� Appendix 8.8 Policies on Faculty

� Appendix 8.9.2 Curriculum Vitae for Current Faculty Assigned to Degree Program.

� Appendix 8.9.2 E Curriculum Vitae for On-line Learning Professional and Technical Staff

� Appendix 8.10 Enrolment Projections and Staffing Implications 9. Credential Recognition Standard 9 10. Regulation and Accreditation Standard 10 11. Program Evaluation Standard 11 � Appendix 11.1 Periodic Review Policy and Schedule 12. Academic Freedom and Integrity Standard 12 � Appendix 12.1.1 Academic Freedom Policy

� Appendix 12.1.2 Academic Honesty Policy

� Appendix 12.1.3 Academic Honesty Procedure

� Appendix 12.2 Policy on Intellectual Products

� Appendix 12.3 Policy on Ethical Research Practices 13. Student Protection Standard 13

� Appendix 13.1 Academic Calendar Information � Appendix 13.2.1 Dispute Resolution � Appendix 13.2.2 Fees and Charges

� Appendix 13.2.3 Student Dismissal � Appendix 13.2.4 Withdrawals and Refunds � Appendix 13.3 Student Protection Information

14. Optional Material 14 � Appendices 14.1 – 14.n Other Relevant Information - Course outlines - Faculty of Graduate Studies Calendar - MBA(FS) Reference Guide - Package provided to students upon acceptance

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2. Executive Summary Appendix 2.1 Executive Summary

Program Title and Credential:

Master of Business Administration (Financial Services)

Discipline/Field of Study:

Business

Prior work experience is required for admission and degree completion

Anticipated Program Start Date:

Dalhousie has been offering the MBA (Financial Services) program since 1996 with close to 720

graduates and an expected 40 more this fall.

Organization Overview and Program Description:

Originally founded in 1818, by George Ramsey, the 9th Earl of Dalhousie, Dalhousie University

operates under an act of the legislature of the Province of Nova Scotia. As the oldest, largest and most

comprehensive university in Eastern Canada, Dalhousie has developed a strong national reputation for

quality. This reputation is based on the University's academic excellence, the scope and breadth of its

programs and the track record of its graduates in the working world.

The Maritime Provinces Higher Education Commission (MPHEC) oversees all of the program

approvals, modifications and changes, as well as, audits the quality assurance for universities in Nova

Scotia, New Brunswick and Prince Edward Island.

Dalhousie University is divided into eleven Faculties with each Faculty headed by a Dean who

exercises academic and administrative authority under the guidelines established by the University’s

Board of Governors. The Faculty of Management comprises four Schools: Business Administration,

Public Administration, Information Management and Resource and Environmental Studies. The

Faculty offers four business programs that have been accredited by AACSB International, two four-

year undergraduate programs; the Bachelor of Commerce and the Bachelor of Management and two

graduate programs; the MBA and the MBA (Financial Services).

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The FS program has been developed in response to industry demand. It specifically addresses the

needs of individuals who are working full-time, may be resident outside major communities with

universities, and require materials that are available in a format providing for a process of self-directed

study within the limitations of individual schedules. These needs are addressed while still providing a

high level of academic standards, and having the student interact with the professor and other students

for a period of time which is similar in duration to that spent in class by full-time MBA students.

This innovative degree program is primarily designed for upper-middle managers and junior

executives in the financial services sector. They are leaders who rely on people, financial resources,

and technology to achieve results; managers who constantly face challenging decisions. A high calibre

of students entering the program is ensured through a review of past academic performance as well as

job performance at the management level, references, and a review of each applicant’s personal

resume. Once accepted by Dalhousie University, a student must complete the requirements for the

MBA (FS) degree within seven years.

The individuals selected for entrance to this program are expected to contribute to the development of

their fellow students through their sharing of management experiences. The academic personnel

instructing each course provide the additional knowledge base, analytical skills and problem-solving

capacity necessary for them to develop and expand participants’ existing management skills.

SBA courses are offered via a distance education format consisting of seventeen weeks of distance

study and assignments followed by a three-to-five-day intensive learning session. The capstone

course, Strategic Leadership and Change, is taken after all other relevant courses are completed and

consists of eight weeks of distance study and assignments followed by a one-week intensive learning

session conducted at Dalhousie University. Students must be able to integrate their new knowledge

into everyday responsibilities, on a course-by-course basis, in their existing positions and as their

careers progress.

During the period students spend with the distance portion of the materials in each course, they submit

assignments that are marked and returned with detailed feedback. In addition, students have access to

a university professor by phone, fax, and e-mail, Internet conference boards and chat rooms.

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Generally, this is the same professor who will be instructing the intensive session held at the end of

each course. As a result, the professor, through reviewing the students’ assignments and conversation

with them, is familiar with the students’ requirements when she/he arrives in the classroom for the

intensive session. This provides a much stronger learning process than the situation where a professor

sees the students for the first time on the day that the class starts, and will only spends a short time with

them. While many distance programs that offer accredited MBA programs do not require intensives in

every course, the FS program has continued to use them in spite of their considerable travel expense

for many students and their expense to the FS program itself.

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3. Program Abstract Appendix 3.1 Program Abstract

The Dalhousie MBA (Financial Services) degree helps managers in the financial services industry

enhance their skills by furthering their abilities to exercise leadership and make sound business

decisions, honing their analytical skills, and sharpening their judgment in managerial and client service

roles. The program broadens the horizons of financial managers by exposing them to business concepts

necessary inside and outside the industry, thereby enhancing performance in their present positions and

increasing their scope of career opportunities.

The part-time MBA (FS) program is delivered using a blended learning model of combining distance

and classroom instruction.

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4. Program Degree- Level Standard Appendix 4.1 Degree Level Summary

The MBA (FS) program is a master’s level degree program specifically tailored to the Financial

Services sector of the business world. There are several streams designed specifically for various

banking and insurance institutions.

Through the program, students will gain:

• a detailed understanding of key issues faced by senior managers of financial institutions;

• a grasp of concepts and skills utilized in an efficient and effective financial institutions;

• a comprehensive look at the industry through the discussions with other students representing

the major financial institutions;

• the ability to make the most effective use of the resources available to managers, and to

develop solid relationships with clients;

• an enhanced ability to anticipate future trends so that managers can adjust their strategies to

changing conditions;

• a better ability to understand the broad-based skills necessary to run a large business. This adds

to and complements the functional training and experience developed through progression

within the work environment;

• an enhanced ability to envision and manage the environment of change, which is a continuing

dynamic in today’s business climate;

• broader knowledge of business in general, enabling managers to better run their own business

while incorporating information and innovation from all business environments. This will also

enhance the recognition of potential strategic partnerships within the business community.

Successful applicants will be able to integrate their new knowledge into everyday job responsibilities,

on a course-by-course basis, in their existing positions, and as their careers progress within the

financial services industry.

Its distance education format specifically addresses the needs of individuals who are working full time,

who may be living outside communities with universities, whose job requires them to be mobile,

and/or who require materials available in a self-directed study format. These needs are addressed while

still ensuring a high level of academic excellence and enabling students to interact with their professors

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and each other for a specified period of time, similar in duration to that spent in class by full-time

MBA students.

The part-time MBA (FS) program is delivered using a blended learning model of combining distance

and classroom instruction. Dalhousie MBA courses are offered via online distance education using

university texts supplemented with teaching notes and on-line correspondence. The format of each

course is a four month distance portion concluding with a three to five day intensive classroom

sessions (which includes a three-hour exam) held in a major centre where demand warrants. There is

no guarantee that sessions will be held in a particular location and participants may be required to

travel to attend these sessions. (If this is the case, students are responsible for their own transportation

and accommodation.)

The program concludes with a capstone course, Strategic Leadership and Change. The course may be

taken only after completion of all other course requirements and is only offered during the summer

session at Dalhousie University in Halifax.

This “blended learning model program” gives students the same MBA degree from the Faculty of

Graduate Studies at Dalhousie University as students who are enrolled in the full-time, residential

program. As is the case with the full-time program, enrolment is not a guarantee of success. Students

must meet a rigorous standard of performance and will not be passed in any individual course where

they do not meet this standard.

The Dalhousie courses are comparable to the required core courses in the full-time MBA program and

use University texts supplemented with teaching notes prepared by Dalhousie professors or qualified

personnel from other Canadian universities. To graduate from the MBA (Financial Services) Program,

students must successfully complete all required courses outlined in the specific stream noted. This

degree has full and equal status with all other Masters-level degrees approved and granted by

Dalhousie University.

The School of Business programs (including the MBA- Financial Services) is AACSB International

(Association to Advance Collegiate Schools of Business) accredited.

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Appendix 4.2 Sample of Student Work “The organization has on file and available upon request samples of student work as per the

requirements of Appendix 4.2 and Benchmark 2 of the Degree Level standard:

Assessment of individual student work in the terminal stage of the program, that reflects

exemplary, average, and minimally acceptable performance, demonstrates that the degree level

standard has been achieved.

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5. Admissions, Promotion, Graduation Standard

This innovative degree program is primarily designed for managers and executives in the financial

services industry. These individuals are leaders who must constantly make challenging decisions and

have to rely on people, financial resources and technology to achieve results. The high caliber of

students entering the program is ensured through a rigorous review of past academic performance, and

current job performance at the management level, as well as each applicant’s résumé and references.

Admission Requirements Faculty of Graduate Calendar

http://gr.cal.dal.ca/FACS.htm

2.2 Master's Degree Program

Candidates for admission must hold at least a Bachelor's Degree with a minimum B average in the last

60 credit hours from a university of recognized standing, with the following conditions:

a. For entry into a Master's program with a thesis requirement, candidates must hold a Bachelor's

Degree with an honours or the equivalent of honours standing as granted by Dalhousie University

in the area in which graduate work is to be done or an area which is relevant to the graduate work.

A four (4)-year Bachelor's degree may be considered as equivalent of honours if there is evidence

of independent research capacity (such as a research project as part of a class) or if the degree is

officially approved as an honours equivalent. In those cases where a candidate has a three (3)-year

degree and a four (4)-year degree honours program was not available to them, first-class

candidates will be considered for admission to a two-year program.

b. For entry into all other programs, candidates must hold a Bachelor's Degree with at least four (4)

classes, or their equivalent, taken at a senior undergraduate level in the area in which graduate

work is to be done or an area which is relevant to the graduate work. Candidates must achieve an

average of at least a B in those four classes, as well as the overall B average in the last 60 credit

hours for their degree.

http://gr.cal.dal.ca/FACS.htm�

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c. Some professional programs offer a one-year Master's program for which an honours degree or

equivalent is not required for admission. See Departmental Listings for details of individual

program admissions.

A small number of mid-career Master's degrees (see 6.4.3) allow entry either with or without a

Bachelor's degree, depending on the qualifications of the applicant. Admission to such programs, as

with all graduate programs, is at the discretion of the Faculty of Graduate Studies.

6.4.3 Specialty and Mid-Career Master's Degrees

A number of specialty Master's degrees have been and continue to be developed to meet specific needs

and demands for graduate education in commerce, public service, and industry. Some but not all of

these programs are degrees designed for mid-career professionals. These are primarily class-based

programs, with some component of work and professional experience (either as part of the program or

as pre-requisites for admission). All or part of the classes may be offered in a distance education mode.

They currently include the MBA (Financial Services), MPA (Management), MEng (Internetworking),

EMEC (Executive Masters of Electronic Commerce) and MIM.

(FGS) -II. Admission Requirements

Regulations of the Faculty of Graduate Studies govern admissions. Admission is approved by the

Faculty of Graduate Studies, on the recommendation of the School of Business Administration.

Applicants must hold a degree recognized by Dalhousie University as the equivalent of a four-year

Bachelor's Degree in one of its own faculties or any institution recognized by Dalhousie University.

The minimum requirement is a B average (GPA 3.0).

A complete application includes:

• $70.00 application fee

• Faculty of Graduate Studies application forms

• Two reference letters, (academic - unless working full-time 5+ years)

• GMAT results (no required for MBA(Financial Services) program)

• TOEFL results, where applicable (or MELAB, IELTS, CAEL or Cantest)

http://www.registrar.dal.ca/calendar/gr/DEPT.htm�

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• Letter of Financial Guarantee (non-Canadian applicants)

• Transcripts from each institution attended (two copies - both originals)

• Personal Statement

• Your resume (two copies)

• Proof for certificates or designations from Financial Planner Standards Council if applying for CFP stream

• Prior Learning Assessment Portfolio (If required)

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• Sample of standard application form below; supplementary application documents and forms can be found on the program website: http://mbafs.management.dal.ca/CSI_Admission.htm

http://mbafs.management.dal.ca/CSI_Admission.htm�

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16

17

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Appendix 5.1.1 Admission Requirements Direct Entry Program Admission Requirements Academic Applicants must have a degree recognized by Dalhousie

University as equivalent to an undergraduate degree with an equivalent Grade Point Average (GPA) of 3.0 (on a 4.3 scale).

Related Work Experience 3-5 years work experience in the Financial Service sector Other Resume, letter of intent, recommendation letters

(minimum of 1 employment & 1 academic), confirmation of employment, complete admission interview, successful completion

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Appendix 5.1.2 Admission Policies and Procedures for Mature Students Program Admission Requirements Academic Applicants must have a degree recognized by Dalhousie

University as equivalent to an undergraduate degree with an equivalent Grade Point Average (GPA) of 3.0 (on a 4.3 scale). Evidence of continuing education (ie, professional programs or designations and/or some college or university courses).

Academic – Professional See chart below Related Work Experience Minimum of 5 years management level experience and

responsibilities in the financial service sector.

Other Resume, letter of intent, recommendation letters (minimum of 2), confirmation of employment, interview, Prior Learning Assessment portfolio (see attached guidelines and assessment tools)

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5.2 Advanced Standing Appendix 5.2.1 Credit Transfer/Recognition Policies and Procedures

Program Admission Requirements Academic Applicants must have a degree recognized by Dalhousie

University as equivalent to an undergraduate degree with an equivalent Grade Point Average (GPA) of 3.0 (on a 4.3 scale

Academic –Professional See chart below Related Work Experience 5 years work experience in the Financial Services sector Other Resume, letter of intent, recommendation letters

(minimum of 2), confirmation of employment, interview

Advanced Standing Program Chart *( all courses must have been completed within a 10 year

period prior to admission)

Admission Requirements

All below courses/program have been reviewed and approved by the Dalhousie MBA(Financial Services) Academic committee and the Faculty of Graduate Studies

In addition to the above noted admission criteria, candidates applying for advanced standing must meet the following requirements:

CSI Financial Services Management Program (Professional Banking Program (PBP) )

Human Resource Management: A Financial Institution Perspective

Global Financial Systems and Markets

Financial Services Marketing

Using Information Technology to Gain Competitive Advantage

Bank Financial Management

Strategic Thinking: a Financial Services Approach

Integrative Project

To be admitted to the MBA (Financial Services) Program under the Professional Banking program stream, applicants must Minimum of 2 courses completed from this program (must complete all 7 prior to registering for the final capstone course in the MBA (FS) program.

CSI Wealth Management Program (Personal Financial Planning/Personal Trust Programs)

STREAM I

To be admitted to the MBA (Financial Services) Program under the Wealth Management

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Servicing the Client

Wealth Valuation

Risk and Insurance

Investment and Portfolio Management

Estate Planning

Engineering of a Trust

Trust and Estate Management

Using Information Technology to Gain Competitive Advantage

STREAM II

Fundamentals of Personal Finance

Investment and Taxation Fundamentals

Insurance and Retirement

Investment and Tax Planning

Risk Management and Estate Planning

Engineering of a Trust

Trust and Estate Management

Using Information Technology to Gain Competitive Advantage

program Stream , applicants must have completed a Minimum of 2 courses completed from this program (must complete all 8 prior to registering for the final capstone course in the MBA (FS) program.

Canadian Securities Program

All applicants must complete this category.

Canadian Securities Course (CSC)

Core

Applicants must complete one of the core pairings.

Professional Financial Planning Course (PFPC) and Wealth Management Techniques (WMT) and/or Managing High Net Worth (MHNW)

Investment Management Techniques (IMT) and Portfolio

To be admitted to the MBA (Financial Services) Program under the Canadian Securities program stream, applicants must have completed three courses from the CSI. These courses must include the Canadian Securities Course (CSC) and 1 set of the core pairings (see chart below) with an

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Management Techniques (PMT)

Derivatives Fundamentals Course (DFC) and Technical Analysis Course (TAC)

Derivatives Fundamentals Course (DFC) and Financial Markets Risk Management (FRM)

Electives

Applicants must complete three electives. If a course is to be counted as an elective, it cannot also be counted as part of the core program.

Professional Financial Planning Course (PFPC)

Wealth Management Techniques (WMT)

Investment Management Techniques (IMT)

Portfolio Management Techniques (PMT)

Derivatives Fundamentals Course (DFC)

Options Licensing Course (OLC)

Futures Licensing Course (FLC)

Technical Analysis Course (TAC)

Options Strategies Course (OSTC)

Agricultural Markets Risk Management Course (ARM) – only offered on special order to groups

Energy Markets Risk Management Course (ERM)

Financial Markets Risk Management Course (FRM)

Canadian Insurance Course (CIC)

Managing High Net Worth (MHNW)

overall average mark that must be 70 per cent or greater. The three additional electives must be complete prior to registering for the MBA (FS) capstone course.

Fellow, Life Management Institute (FLMI) Program Insurance Stream

Principles of Insurance: Life, Health and Annuities

To be admitted to the MBA (Financial Services) Program under the FLMI program stream, you must have earned the FLMI

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Insurance Company Operations

Insurance Administration

Legal Aspects of Life and Health Insurance - Canada OR Business Law for Financial Services Professionals

Marketing Life and Health Insurance

Management Principles and Practices

Information Management in Insurance Companies OR Investments and Institutional Investing

Financial Services Environment

Accounting and Financial Reporting in Life and Health Insurance Companies

Managing for Solvency and Profitability in Life and Health Insurance Companies

designation from LOMA with a minimum average grade of 80 per cent.

CFP Certification Program CFP Certification - Certified Financial Planner Certification Professional Designation

To be admitted to the MBA (Financial Services) Program under the CFP program stream, applicants must have a CFP (Certified Financial Planner) designation ( in good standing) as certified by the Financial Planners Standards Council

MBA (Financial Services) ADMISSIONS REQUIREMENTS – Advanced Standing I. Degree with GPA of 3.0 (B)

i) Completion of minimum professional program courses as outline in chart above. ii) Employed in the financial services industry iii) Management experience irrelevant

II. Degree without a GPA of 3.0 (B) 1. 2.7 GPA (B-)

i) Completion of minimum professional program courses as outline in chart above. ii) 3 years since graduation

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iii) 5 years management experience at the appropriate job grade level. 2. GPA Below 2.7

i) Completion of minimum professional program courses as outline in chart above. ii) 5 years since graduation iii) 5 years management experience at the appropriate job grade level.

III. Undergraduate Courses without Degree/ No Degree and No University Courses

i) Completion of minimum professional program courses as outline in chart above. ii) 5 years of management experience at the appropriate job grade level. iii) Prior Learning Assessment portfolio (see attached assessment guidelines)

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Appendix 5.2.2 Advanced Placement Policies

The organization’s admission policies that pertain to entrance examinations and advanced placement based on

prior learning assessments.

A small number of mid-career Master's degrees allow entry either with or without a Bachelor's degree,

depending on the qualifications of the applicant. Admission to such programs, as with all graduate

programs, is at the discretion of the Faculty of Graduate Studies.

The MBA (Financial Services) admission committee reviews and assesses the Prior Learning portfolio

for evidence that through professional experience the candidate possesses the skills equivalent to those

which would have been obtained through a traditional undergraduate degree experience and are require

for success in a master’s level program. The major components are but are not limited to: of the

following components:

1) Writing skills

2) Analytical skills

3) Research skills

4) Management/Leadership skills

SECTION A I. Skills in research and investigation 1. Use a variety of sources of information 2. Apply a variety of methods to test the validly of data 3. Identifying problems and needs 4. Identify information sources appropriate to special needs or problems 5. Formulate relevant questions to clarify a problem, topic or issue II. Report writing (demonstrated ability to write in a clear and informative manner) 1. Logical sequencing 2. Clarity of expression 3. Ability to analyze and synthesize 4. Capacity to present issues in a balanced manner 5. Ability to draw conclusions and make recommendations III. Team work to accomplish tasks, i.e., reports and presentations IV. Analytical Skills V. Presentations—Can the applicant display that a presentation they have given: 1. Addressed the relevant and significant issues 2. Defined the key issues well

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3. Had appropriate facts, quotations, statistics, and documentation 4. Reflected penetration in analysis 5. Reflected appropriate sensitivity to political and administrative feasibility 6. Had an introduction, development, and conclusion 7. Reflected an adequate transition from one stage to another SECTION B I. Differentiate between fact and opinion II. Recognize and evaluate bias and rhetoric III. Determine cause and effect relationships IV. Determine the accuracy/completeness of information V. Recognize logical fallacies/faulty reasoning VI. Compare and contrast information/points of view VII. Make inferences from materials VIII. Make judgements and draw conclusions SECTION C Part I I. Managing II. Project development & evaluation III. Organizing IV. Communication V. Managing organizations, people, resources and services VI. Preparing reports SECTION C Part II I. Provided advice on issues important to the organization I. Displayed the ability to examine an issue in a critical manner: II. Challenged the status quo III. Displayed a balance between theory and practice IV. Added value to a report V. Experience in evaluation techniques: personnel or project VI. An understanding basic economic principles: supply and demand, different market types VII. An understanding of basic accounting principles: budgeting, priority setting and

financial planning VIII. Computer skills, ie., working with spreadsheets, word processing, email and the internet SECTION C Part III I. Intellectual inquisitiveness and interest in exploring concepts and ideas in detail. II. The ability to learn a theoretical concept and apply it to a practical situation the work place. III. The ability to meet deadlines IV. The ability to work under pressure V. The ability to multi task work assignments VI. Consistent work practices

27

Samples of guidelines and assessment forms

• MANAGEMENT EXPERIENCE PROFILE (Sent to applicant) MANAGEMENT EXPERIENCE PROFILE

Please complete this form if your GPA does not meet the minimum requirements

OR you do not have an undergraduate degree. When filling out this form please keep in mind the responsibilities you have had in the past 5 years. If you have held different positions in the last 5

years please fill out a separate form for each position.

SECTION A (To be completed by Applicant)

Name: Job Title with Dates: Organization: Name of Immediate Manager: Email address of Immediate Manager:

SECTION B (To be completed by Applicant) 1. HR Management Are you: (please check all that apply)

• Responsible for the performance evaluation of more than one direct report

• Responsible for approval of promotion and salary increases for your direct reports

• Responsible for signing performance appraisals as “Supervisor/Manager” or similar title

• Responsible or co-responsible for hiring decisions • Responsible for approval to terminate unsatisfactory employees

2. Financial Management Do you…: (please check all that apply)

• Initiate first draft of budget preparation for his/her business unit and negotiate changes with eventual authority to agree on final budget

• Set annual sales quotas for more than one sales person • Have complete responsibility for the management of a unit budget

(If “yes” please indicate amount $ )

• Have major responsibility for in client investment portfolios (If “yes” please indicated amount $ )

• Have supervisory, credit granting authority • Supervise others with lower credit-granting limits

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3. Information Management Do you act as an organization resource or subject matter expert at a high level for any of the following?

• Responsible for initiating, organizing, implementing and/or managing information/data with relation to technology and/or archived materials

• Certifies expertise that is applied in the performance of the job

• Primary Responsible for the business unit’s knowledge management

• Makes decisions consistent with guidelines particular to an industry or profession (e.g. FICB, FLMI, CGA, CA, CMA, CMC, Member of the bar)

• Establish guidelines for subject matter expert’s to follow

Applicant’s Signature: ___________________________________________________________ Date: ________________________________________________________________________ SECTION C (To be completed by Manager) I hereby certify that the above information is correct Manager’s Signature: ___________________________________________________________ Manager’s Title: ________________________________________________________________ Date: _________________________________________________________________________

SECTION D For Office Use Only CFAME Approval: Date:

29

• PRIOR LEARNING ASSESSMENT PORTFOLIO GUIDELINES (Sent to applicant)

PRIOR LEARNING

ASSESSMENT GUIDELINES

CENTRE FOR ADVANCED MANAGEMENT EDUCATION

DECEMBER 2007

30

Prior Learning Assessment Guidelines

Introduction

These guidelines offer practical and step-by-step advice on how to develop a Prior Learning

Assessment (PLA) Portfolio. Students interested in applying to the Master of Business Administration

(Financial Services) Degree without an undergraduate degree are required to submit a PLA Portfolio

The Proir Learning Assessment or PLA is an extensive collection of documentation usually presented

in a three-ring binder, with labeled dividers, containing a coherent, well-organized and attractively

presented inventory of skills and learning. These materials document and validate previously acquired

learning. It details the research and writing skills that you normally obtain through an undergraduate

degree but have gained through your work experience by example submissions of papers and

documents written as part of your career development. As well your presentation skills should be

clearly evidence in the document with examples given. There are quite a number of competencies we

are looking to be shown as well. Overall your portfolio should demonstrate who you are (attitudes and

behaviours), what you know (knowledge) and what you can do (skills and aptitudes).

31

Your portfolio should contain the following sections:

1. Letter of Intent

2. Letters of Support

3. Learning Matrix

4. “Life History”

5. Curriculum Vitae

6. Current Job Description

7. Performance Appraisals

8. Writing, Research, Presentation Samples

9. Certificates & Recognition

10. Transcripts & Training

11. Declaration of Authenticity

To verify the information you present you may include tapes, videos, educational transcripts,

certificates, awards, letters of support, newspaper articles or any other type of proof that is appropriate

to your situation.

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1. Guidelines for Writing a Letter of Intent

The letter of intent or personal statement is a standard component of most graduate and professional

school applications.

Application essays give you an opportunity to explain -- through narrative, example, and analysis --

aspects of your personal, educational, and professional history that may have led you to pursue an

advanced degree at a particular institution. Admissions committees rely heavily on these essays to put

a face on impersonal test scores and grade point averages.

For this reason, it's important for you to use details and thoughtful self-presentation to make your face

one that stands out in a crowd. Your essay should demonstrate your ability to make connections

between your experience, education, and the program you have chosen. The most challenging aspect of

the application essay is making those connections in a relatively small amount of space.

Be focused. Take your cue first from the prompt given in the application form. If the prompt is very

general or the questions scattered, decide what point you want to make overall: that you are a proven

achiever, or that you can deal with challenges, or that you have something special to contribute to the

profession....

Be coherent. Being "together" is a quality of writing as well as of character. A clearly organized

letter can create a picture of a clear-minded and sensible person. You might want to write from an

outline or a diagram of main points. At least check the topic sentences of each paragraph in your

finished piece to see if they make a logical sequence.

Be interpretive. You need to make an impression concisely, so don't use your letter just to repeat the

facts set out in other parts of the application. Provide explicit answers for the question that arises in the

mind of any reader. Use nouns and adjectives that name qualities (outgoing, curiosity, confident) and

verbs that show action (coordinated, investigated, tried). Make an effort to find the exact right ones to

suit the evidence you are offering.

Be specific. There's no point making claims unless you can back them up. Refer to the fact lists in

other parts of your application ("as my academic record shows"), but be sure to offer enough examples

in your letter so that it can stand on its own. Say that they are just instances, not your whole proof ("An

http://owl.english.purdue.edu/owl/resource/544/01/�http://www.utoronto.ca/writing/parag.html�

33

incident from last summer is an example...."). The concrete language you use for these specific

references will also balance the generalizing words of your interpretive points.

Be personal. Your letter substitutes for an interview. In effect, the readers have asked you to tell

stories, mention details, expand on facts. So mention things you might not have put into the rest of the

application--your ethnic background or political interests, even. Don't be afraid to mention problems or

difficulties; stress how you overcame them. Use "I" rather than phrases like "this writer" or "my

experience" or "was experienced by me."

References:The Writing Center, University of Wisconsin. Application Essays from:

http://www.wisc.edu/writing/Handbook/apessay_overview.html

How to Write an Effective Admission Letter from: http://www.utoronto.ca/writing/admiss.html

34

3. Guidelines for Learning Matrix: Competencies you must demonstrate: I. Skills in research and investigation II. Report writing (demonstrated ability to write in a clear and informative manner III. Team work to accomplish tasks, i.e., reports and presentations IV. Analytical Skills V. Presentations—Can the applicant display that a presentation they have given Skills you must demonstrate: I. Managing II. Project development & evaluation III. Organizing IV. Communication V. Managing organizations, people, resources and services VI. Preparing reports Through your work experience you need to show the following: I. Provided advice on issues important to the organization II. Displayed the ability to examine an issue in a critical manner: III. Challenged the status quo IV. Displayed a balance between theory and practice V. Added value to a report VI. Experience in evaluation techniques: personnel or project VII. An understanding basic economic principles: supply and demand, different market types VIII. An understanding of basic accounting principles: budgeting, priority setting and financial

planning IX. Computer skills, ie., working with spreadsheets, word processing, email and the internet Other Skills: I. Intellectual inquisitiveness and interest in exploring concepts and ideas in detail. II. The ability to learn a theoretical concept and apply it to a practical situation the work place. III. The ability to meet deadlines IV. The ability to work under pressure V. The ability to multi task work assignments VI. Consistent work practices

35

This material is best presented in a chart with examples of how you meet each competency. Please use

the other sections like the one for writing samples to show the evidence of these competencies. Make

sure to reference where this evidence is located in your chart.

36

4. Guidelines on “Life History”: A short, two to four page summary of your Life History is included here. It tells the assessor how you

got to where you are today. Who you are (attitudes and behaviours), what you know (knowledge) and

what you can do (skills and aptitudes). It is important that your Life History show how you and your

abilities are connected and related to the work you do today and the work you hope to do in the future.

The goals of the Life History section of the PLA are to demonstrate the following to the assessors:

Action – you have been able to move forward to obtain what you want and need.

Clarity – you have been able to determine what you have to offer and what you want and need

at each stage of your life.

Strategy – you have been able to clearly communicate your value added to those who want or

need your abilities.

37

5. Guidelines on Curriculum Vitae:

Every person who applies for the MBA (Financial Services) must complete a resume using the

guidelines below. When writing your resume, you should include any experience you may have in

relation to the below criteria. Do not rely on acronyms, and/or position titles to describe your duties

and responsibilities. Position titles may be specific to your particular organization. The job description

should reflect, at a minimum, your work history from the past five years; please include the number of

months spent in each position.

The Admissions Committee will assess your management experience in terms of the following

competencies. It is, therefore, important to address each of these competency areas for each position

outlined on your resume. Please note. We are not looking for a standard resume format, but a detailed

description of your positions held.

• Supervisory Experience: Are you responsible for the performance of subordinates? Do you have direct reports?

• Lending Authority: Do you have supervisory, credit-granting experience? Do you supervise others with

lower credit-granting limits? • Hiring and Termination Responsibility: Do you evaluate personnel requirements? Do you have hiring

authority? Do you approve promotion and salary increases for your direct reports? Have you approval to terminate unsatisfactory subordinates?

• Budget Authority: Are you responsible for establishing, managing and achieving a unit budget? Have you

the authority to allocate expenditures and approve subordinates’ expenses? • Managing Capital: Do you manage, invest or control a portfolio of capital? How large is the portfolio? • Managing Property: Have you searched, found and or/negotiated leases in relation to property? Have

you been involved building management? Are you responsible for the infrastructure in a unit? • Managing Information: Have you been involved in initiating, organizing, implementing and/or managing

information/data with relation to technology and/or archived materials?

6. Writing, Research, Presentation Samples:

This section is a very important part of the portfolio. A large part of an undergraduate degree is

developing skills in proper writing, research as well as analytical and presentation skills. Please use

this section to show that through your life, work, and volunteer experience you have developed these

skills. This section should also include the evidence from many of the competencies listed in the

38

learning matrix. You can include in this section reports you have written, research projects, and

presentations you have done. Please note these documents should have your name as the author or

have signed authorization from your supervisor/manager that you are the original author of the

material.

39

7. Guidelines on Transcripts & Training: We require official transcripts from all/any post-secondary institutions you have attended. All

transcripts must bear the official stamp/seal of the issuing institution. If you have submitted these with

your application please include copies in this section.

You must list all post-secondary institutions attended. If you have only taken a few courses of a

specific program, but did not complete the program, you must note this and provide transcripts. If you

have completed a certificate or diploma program, you must note this and provide appropriate

transcripts.

40

8. Sample Declaration of Authenticity:

Declaration of Authenticity

I confirm that all the evidence and work in this portfolio is my own, and does not include any work completed by anyone other than myself. I give permission to the Dalhousie University to review and reprint, if necessary, the materials contained in this portfolio, and ask that their confidentiality be respected. __________________________________ Dated: Your name Here

41

Prior Learning Assessment Resources: 1. Slide show on how to create a PLAR: http://recognitionforlearning.ca/learner/aboutPLAR.php#anchor_module 2. Athabasca University has examples, handbook on how to create a PLAR http://priorlearning.athabascau.ca/index.php 3. Nova Scotia Community College – http://www.nscc.ca/Services/Prior_Learning_Assessment_And_Recognition.asp

4. Manitoba has a centre like ours: http://www.plarinmanitoba.ca/site/whatisplar/main_e.php 5. Canadian Universities/Colleges that offer it: SIAST – Prince Albert SK http://www.siast.sk.ca/siast/admissions/plar.htm Red River College – Winnipeg http://www.rrc.mb.ca/prior/ 6. Canadian Association for PLA http://www.capla.ca 7. Other resources http://www.usask.ca/gmcte/drupal/?q=node/164 http://www.career.fsu.edu/portfolio/ http://careerservices.uvic.ca/tutorials/career-portfolio.html http://depts.washington.edu/geogjobs/Careers/pfolbasics.html

http://recognitionforlearning.ca/learner/aboutPLAR.php#anchor_module�http://priorlearning.athabascau.ca/index.php�http://www.nscc.ca/Services/Prior_Learning_Assessment_And_Recognition.asp�http://www.plarinmanitoba.ca/site/whatisplar/main_e.php�http://www.rrc.mb.ca/prior/�http://www.capla.ca/�http://www.usask.ca/gmcte/drupal/?q=node/164�http://www.career.fsu.edu/portfolio/�http://careerservices.uvic.ca/tutorials/career-portfolio.html�http://depts.washington.edu/geogjobs/Careers/pfolbasics.html�

42

• PRIOR LEARNING ASSESSMENT Criteria/Recommendation FORMS (To be

completed by admission committee)

Prior Learning Assessment Form

for

Admissions to Dalhousie University Faculty of Graduate Studies

Name:

Years of Management Experience:

Recommendation for Admission:

Marginal Recommendation for Admission:

Not Recommended for Admission:

Comments:

43

Assessor Name

Signature

Date

Note: For sections A and B the applicant must successfully meet the following competencies. If the applicant does not meet the requirements in any one competency in Sections A or B they will not be considered for admission to the MBA (Financial Services) Program

Section A Does the applicant’s portfolio display that they have experience in: Meets

Requirements 1

Does Not Meet Requirement

0

Comments

I. Skills in research and investigation 1. Use a variety of sources of information 2. Apply a variety of methods to test the

validly of data

3. Identifying problems and needs 4. Identify information sources appropriate

to special needs or problems

5. Formulate relevant questions to clarify a problem, topic or issue

II. Report writing (demonstrated ability to write in a clear and informative manner)

1. Logical sequencing 2. Clarity of expression 3. Ability to analyze and synthesize 4. Capacity to present issues in a balanced

manner

5. Ability to draw conclusions and make recommendations

III. Team work to accomplish tasks, i.e., reports and presentations

IV. Analytical Skills Presentations—Can the applicant display that a presentation they have given:

1. Addressed the relevant and significant issues

44

2. Defined the key issues well 3. Had appropriate facts, quotations,

statistics, and documentation

4. Reflected penetration in analysis 5. Reflected appropriate sensitivity to

political and administrative feasibility

6. Had an introduction, development, and conclusion

7. Reflected an adequate transition from one stage to another

45

Section B Does the applicant’s portfolio indicate that they can:

Meets Requirements

1

Does not Meet Requirements

0

Comments

I. Differentiate between fact and opinion

II. Recognize and evaluate bias and rhetoric

III. Determine cause and effect relationships

IV. Determine the accuracy/completeness of information

V. Recognize logical fallacies/faulty reasoning

VI. Compare and contrast information/points of view

VII. Make inferences from materials VIII. Make judgements and draw

conclusions

46

Section C 1. The applicant must have an average score of 3.8 in Section C to be considered for admission. The applicant should be able to demonstrate that they have basic skills in: Meets

Requirement 1

Does Note Meet

Requirements 0

Comments

I. Managing II. Project development & evaluation

III. Organizing IV. Communication V. Managing organizations, people,

resources and services

VI. Preparing reports Total Score ________ Average Score ________

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2. The portfolio should indicate that the applicant, through their work experience, has:

Meets

Requirement 1

Does not meet requirements

0

Comments

I. Provided advice on issues important to the organization

II. Displayed the ability to examine an issue in a critical manner:

III. Challenged the status quo IV. Displayed a balance between theory

and practice

V. Added value to a report VI. Experience in evaluation techniques:

personnel or project

VII. An understanding basic economic principles: supply and demand, different market types

VIII. An understanding of basic accounting principles: budgeting, priority setting and financial planning

IX. Computer skills, ie., working with spreadsheets, word processing, email and the internet

Total Score ________ Average Score ________

48

3. Has the applicant displayed: Meets

requirements 1

Does Not meet requirements

Comments

I. Intellectual inquisitiveness and interest in exploring concepts and ideas in detail.

II. The ability to learn a theoretical concept and apply it to a practical situation the work place.

III. The ability to meet deadlines IV. The ability to work under pressure V. The ability to multi task work

assignments

VI. Consistent work practices Total Score ________ Average Score ________

49

4. Has the applicant made any contribution to the field of work: List Required Information

Does the applicant have any written

material that has been published or

distributed to their peers. These

would include brochures, articles,

major reports etc.,.

To whom has the applicant made

presentations to and what was the

topic area?

Summary Comments:

50

Appendix 5.2.3 Degree Completion Arrangements Not Applicable to the MBA (Financial Services) program

51

Appendix 5.2.4 Gap Analysis Not Applicable to the MBA (Financial Services) program

52

Appendix 5.2.5 Bridging Courses Not Applicable to the MBA (Financial Services) program

53

Appendix 5.3 Promotion and Graduation Requirements

VI. Degree Requirements

Graduate students have a maximum period of time within which to complete all of the requirements for

their graduate program.

The normal upper time limits for the completion of degrees are:

• One-year Master's, full-time — Four years • One-year Master's, part-time — Five years • Two-year Master's, full-time — Five years • Two-year Master's, part-time — Seven years • PhD and JSD, full-time only — Six years • MBA-FS — Seven years • MPA (Management) — Seven years

6.1 Program Forms

Every graduate student must have an individually approved program of studies. The program or course

of study for each graduate student must be approved by the Graduate Coordinator in each department

or program and submitted for final approval to the Faculty of Graduate studies. The graduate

Coordinator will enter the proposed program (with the total number of credits required, the names and

numbers of all classes required (including ancillary classes), and any other requirements and

conditions) on the graduate Student Program form. The form must be signed by the students and the

Graduate Coordinator before the submission to the Faculty of Graduate Studies. The signed form must

be submitted to the Faculty within the first term of the students' program of studies. Once approved,

the Program Form constitutes an agreed contract between the student and the university and is used to

audit the student's file for graduation. Any changes to the approved Program Form must be agreed to

by the Graduate Coordinator and the Faculty of Graduate Studies by way of a Program Update Form.

Forms are available at: www.dalgrad.dal.ca/forms/gc/.

http://www.dalgrad.dal.ca/forms/gc/�

54

Sample OF PROGRAMME FORM (Contract between student and university)

55

Faculty of Graduate Studies

MBA (FINANCIAL SERVICES) PROGRAM

STUDENT PROGRAMME FORM SECTION I: To be completed by DEPARTMENT ONE MONTH AFTER REGISTRATION.

Full Name of Student Dal ID

Student Address

Phone Number Fax Number Email

Degree Program MBA Field of Study Financial Services Status Part-Time

#Credit Classes Start Date Maximum Completion Date:

ICB Fin. Services Mgmt ICB Wealth Mgmt Stream I ICB Wealth Mgmt Stream II Human Resource Management Servicing the Client Fundamentals of Personal Finance Global Financial Systems & Markets Wealth Valuation Investment and Taxation Fundamentals Financial Services Marketing Risk & Insurance Insurance and Retirement Using IT to Gain Competitive Advantage Investment & Portfolio Management Investment and Tax Planning Bank Financial Management Estate Planning Risk Management and Estate Planning Strategic Thinking Engineering of a Trust Engineering of a Trust Integrative Project Trust & Estate Management Trust & Estate Management

Using IT to Gain Competitive Advantage Using IT to Gain Competitive Advantage MBA Courses

BUSI 5503 Quantitative Decision Making BUSI 5511 Information Systems BUSI 6207 Corporate Finance BUSI 5703 Business Economics BUSI 6326 Mgmt Skills Development BUSI 5103 Accounting BUSI 5801 International Business BUSI 6410 Advanced Marketing BUSI 6990 Strategic Leadership &

Change **

Student will take approved ICB courses within his/her elected specialization (check one): Financial Services Management Stream (PBP) – (16 credits) Wealth Management (PFP/FPP/PT) – (17 credits)

SECTION II: Approvals

MBA(FS) Approval Date

Student Approval Date

Graduate Studies Approval Date

**Please note that all ICB and Dalhousie courses must be completed prior to registering for the capstone Strategic Leadership and Change course

56

For additional sample, please refer to the links below Program of Study Form CFP.doc Program of Study Form CSI Program of Study Form CSI Professional Banking and Wealth Stream Program of Study Form FLMI Stream

6.4.3 Specialty and Mid-Career Master's Degrees

A number of specialty Master's degrees have been and continue to be developed to meet specific needs and demands for graduate education in commerce, public service, and industry. Some but not all of these programs are degrees designed for mid-career professionals. These are primarily class-based programs, with some component of work and professional experience (either as part of the program or as pre-requisites for admission). All or part of the classes may be offered in a distance education mode. They currently include the MBA (Financial Services), MPA (Management), MEng (Internetworking), EMEC (Executive Masters of Electronic Commerce) and MIM.

6.6 Classes and Grades

Classes may be full or half year (full or half credit respectively) and may be designated by the candidate's committee as "Required" (pass mark is B-) or "Ancillary" (normal undergraduate pass mark). Some departments cross-list postgraduate classes with senior undergraduate classes in which case the requirements for graduate students are more demanding than those for undergraduates.

6.6.2 Grading Policy Minimum grade of B- in all Dalhousie University courses

All instructors of graduate classes (i.e., designated 5000 and above), with the exception of a few classes for which a pass/fail grading scheme has been approved, will use the following grading scheme:

Letter Grade Numerical (%) Equivalent GPA A+ 90-100 4.3 A 85-89 4.0 A- 80-84 3.7

57

VII. In the following programs, Architecture, Business Administration, Computer Science,

Engineering, Electronic Commerce, Library and Information Studies, Public Administration,

Occupational Therapy MSc (Occupational Therapy-Post-Professional) program only, students are

allowed to carry one failing grade (in a 3 credit hour class). The MSc (OT) entry to profession level

program follows pass standard. However, no credit will be granted for the failing grade and the

class must be repeated or replaced and a grade of "B-" or better obtained. (Failed core classes must

be repeated; electives may be repeated or replaced at the discretion of the department). Failure of a

second class results in immediate academic dismissal. However, such a student may apply, in

writing, to the department for immediate reinstatement, (see 4.2.5, page 22 Readmission of

Students), for approval by the Faculty of Graduate Studies. If readmitted, any subsequent "F" will

result in a final program dismissal.

6.6.7 Withdrawal From Classes

The last dates for adding and deleting classes are published in the schedule of Academic Class

Add/Drop Dates at the front of this calendar. Students may not transfer from full to part-time status by

withdrawing from classes after the deadlines listed in the schedule of Academic Class/Add Drop dates.

A class may be added or dropped on the web at of www.dal.ca/online by the deadline listed in

Academic Class Add/Drop Dates on page 1 of academic dates/deadlines.

Please note that dropping or changing classes may affect your eligibility for student aid.

Non-attendance does not, in itself, constitute withdrawal. Withdrawals are effective when a

student withdraws from classes on the web at www.dal.ca/online or written notification is

received at the Faculty of Graduate Studies.

6.6.8 Incomplete Classes

B+ 77-79 3.3 B 73-76 3.0 B- 70-72 2.7 F < 70

http://www.dalgrad.dal.ca/regulations/iv/#4.2.5�http://www.dal.ca/online�http://www.dal.ca/online/�

58

A student who fails to complete the required work for a particular class during the normal period of the

class will receive a grade of "F". However, where circumstances warrant, a grade of "Incomplete"

(INC) may be assigned. Subsequent completion of the work following the end of the class may result

in a change of grade by the class instructor, as long as the work is completed before the following

deadlines:

• Fall term classes — February 1

• Winter and Regular (Sept-April) term classes — June 1

• May-June classes — August 1

• May-August classes — October 1

• July-August classes — October 1

• MBA(FS) — Please consult departmental entry.

For GPA purposes a grade of INC holds a credit value of 0.0.

After these deadlines, an "INC" cannot be changed without permission of the Faculty of Graduate

Studies.

Where the formal deadline for completion of work is beyond the INC deadline, the class instructor can

request the Faculty of Graduate Studies to extend the INC for an approved period of time.

At the discretion of the class instructor, alternate arrangements for examinations, tests or the

completion of assignments may be made for students who are ill, or in other exceptional

circumstances.

All outstanding grades, including ILL or INC, must be addressed prior to registration for the next term.

If grades are still outstanding into the next term and no arrangements have been made, students may be

required to re-register in the class.

6.6.9 Incomplete due to Illness

Where illness is involved, a certificate from the student's physician is required. This certificate must

indicate the dates and duration of the illness, and should describe the impact it had on the student's

ability to fulfil academic requirements, and any other information the physician considers relevant and

appropriate. To obtain a medical certificate, students who miss examinations, tests or the completion of

59

other assignments should contact University Health Services or their physician at the time they are ill

and should submit a medical certificate to their class instructor as soon thereafter as possible. Such

certificates will not normally be accepted after a lapse of more than one week from the examination or

assignment completion date.

All outstanding grades, including ILL or INC, must be addressed prior to registration for the next term.

If grades are still outstanding into the next term and no arrangements have been made, students may be

required to re-register in the class.

6.6.10 In Progress Classes

The grade of "In Progress" (IP) may be used only to report thesis classes, research project classes, and

those designated as "open to independent completion of study." Final submission of grades for project

and independent study classes is April 30 for Fall term classes and August 31 for Winter term classes.

Students must continue to register for the class each term until a final grade has been assigned.

6.6.11 Academic Standards

When the work of a student becomes unsatisfactory, (including insufficient progress), or a student's

attendance is irregular without sufficient reason, the Faculty of Graduate Studies may require

withdrawal from one or more classes, or academic dismissal from the Faculty.

http://healthservices.dal.ca/�

60

MBA (Financial Services) Degree requirements

Dalhousie Advanced Standing Program Chart *( all courses must have been

completed within a 10 year period prior to admission)

Required Courses for the MBA(Financial Services) program

All below courses/program have been reviewed and approved by the Dalhousie MBA(Financial Services) Academic committee and the Faculty of Graduate Studies

Accounting

Advanced Marketing

Advanced Corporate Finance

Business Economics

International Business

Quantitative Decision Making

Managing Information Systems

Management Skills Development

Strategic Leadership and Change

And CSI Financial Services Management Program (Professional Banking Program (PBP) )

Human Resource Management: A Financial Institution Perspective

Global Financial Systems and Markets

Financial Services Marketing

Using Information Technology to Gain Competitive Advantage

Bank Financial Management

Strategic Thinking: a Financial Services Approach

Integrative Project

Accounting

Advanced Marketing

Advanced Corporate Finance

Business Economics

And CSI Wealth Management Program (Personal Financial Planning/Personal Trust Programs)

STREAM I

Servicing the Client

Wealth Valuation

Risk and Insurance

Investment and Portfolio Management

Estate Planning

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International Business

Quantitative Decision Making

Managing Information Systems

Management Skills Development

Strategic Leadership and Change

Engineering of a Trust

Trust and Estate Management

Using Information Technology to Gain Competitive Advantage

STREAM II

Fundamentals of Personal Finance

Investment and Taxation Fundamentals

Insurance and Retirement

Investment and Tax Planning

Risk Management and Estate Planning

Engineering of a Trust

Trust and Estate Management

Using Information Technology to Gain Competitive Advantage

Accounting

Advanced Marketing

Advanced Corporate Finance

Business Economics

International Business

Quantitative Decision Making

Managing Information Systems

Management Skills Development

Risk Management Course (Choose 1

of 3 electives)

Strategic Leadership and Change

And Canadian Securities Program

All applicants must complete this category.

Canadian Securities Course (CSC)

Core

Applicants must complete one of the core pairings.

Professional Financial Planning Course (PFPC) and Wealth Management Techniques (WMT) and/or Managing High Net Worth (MHNW)

Investment Management Techniques (IMT) and Portfolio Management Techniques (PMT)

Derivatives Fundamentals Course (DFC) and Technical Analysis Course (TAC)

Derivatives Fundamentals Course (DFC) and Financial Markets Risk Management (FRM)

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Electives

Applicants must complete three electives. If a course is to be counted as an elective, it cannot also be counted as part of the core program.

Professional Financial Planning Course (PFPC)

Wealth Management Techniques (WMT)

Investment Management Techniques (IMT)

Portfolio Management Techniques (PMT)

Derivatives Fundamentals Course (DFC)

Options Licensing Course (OLC)

Futures Licensing Course (FLC)

Technical Analysis Course (TAC)

Options Strategies Course (OSTC)

Agricultural Markets Risk Management Course (ARM) – only offered on special order to groups

Energy Markets Risk Management Course (ERM)

Financial Markets Risk Management Course (FRM)

Canadian Insurance Course (CIC)

Managing High Net Worth (MHNW) Accounting

Advanced Marketing

Advanced Corporate Finance

Business Economics

International Business

And Fellow, Life Management Institute (FLMI) Program Insurance Stream

Principles of Insurance: Life, Health and Annuities

Insurance Company Operations

Insurance Administration

Legal Aspects of Life and Health Insurance - Canada OR Business Law for Financial

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Quantitative Decision Making

Managing Information Systems

Management Skills Development

Measurement and Methodological

Approaches in Risk Management

Concepts of Risk Management

Legal Aspects of Governance and Risk

Management

Strategic Leadership and Change

Services Professionals

Marketing Life and Health Insurance

Management Principles and Practices

Information Management in Insurance Companies OR Investments and Institutional Investing

Financial Services Environment

Accounting and Financial Reporting in Life and Health Insurance Companies

Managing for Solvency and Profitability in Life and Health Insurance Companies

Accounting

Advanced Marketing

Advanced Corporate Finance

Business Economics

International Business

Quantitative Decision Making

Managing Information Systems

Management Skills Development

Risk Management Course (Choose 1

of 3 electives)

Investment and Money Management

Global Market and Institutions

Strategic Leadership and Change

And CFP Certification Program CFP Certification - Certified Financial Planner Certification Professional Designation

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6. Program Content Standard

Appendix 6.1 Program Advisory Committee

The Faculty of Management, Board of Advisors provide industry and professional guidance and advice

on all programs delivered by the Faculty of Management, including the MBA (Financial Services)

program.

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Appendix 6.1.1. Program Advisory Committee Membership

Faculty of Mgmt, Board of Advisors update Aug 2009 Mr. J. Lee Bragg Tel: 902-453-3078 Co-Chief Executive Officer Fax: 902-446-4171 EastLink E-mail: lee.bragg@corp.eastlink.ca 6080 Young Street, 8th Floor EA: Mary Anne (902) 431-7140 P.O. Box 8660, Station A maryanne.struthers@corp.eastlink.ca Halifax, NS B3K 5M3 Mr. C. J. Chen Tel: 65-6232 0304 Consultant Fax: 65-6533 1005 Rajah and Tann E-mail: cjchen@pacific.net.sg 4 Battery Road #15-01 Bank of China Building Singapore 049908 Mr. Murray Coolican Tel: 902-446-5535 35 Birchview Drive E-mail: coolican.coolican@gmail.com Halifax, NS B3P 1G5 Ms. Ruth Dantzer Tel: 613-992-8165 (Diana) President Fax: 613-943-1038 Canada School of Public Service E-mail: ruth.dantzer@csps-efpc.gc.ca 373 Sussex Drive Ottawa, ON K1N 6Z2 Dr. H. Larry Doane, FCA Tel: 902-477-7761 (h) 13 McNab Drive Fax: 902-477-7626 Halifax, NS B3P 2P3 E-mail: the.doanes@ns.sympatico.ca Dr. Fred Fountain Tel: 902-423-8414 (Heather) President Fax: 902-422-7701 The Great Eastern Corporation Limited E-mail: hdowney@greateastern.com 1969 Upper Water Street, Suite 2104 Halifax, NS B3J 3R7 Mr. Robert C. Fowler Tel: 902-424-8940 (Shealagh McGrath) Deputy Minister Fax: 902-424-7638 Treasury and Policy Board E-mail: fowlerrc@gov.ns.ca Government of Nova Scotia 5th Floor, 1700 Granville Street One Government Place P. O. Box 1617 Halifax, Nova Scotia B3J 2Y3

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Mrs. Ann Petley-Jones Tel: 441-292-5300 Chair and Chief Executive Officer Cell: 489-0573 PetaData Holdings, Ltd. Fax: 441-295-3474 12 Church Street, Suite 501 E-mail: ann.petley- P. O. Box HM 3237 jones@petadataholdings.com Hamilton HM PX Bermuda Mr. Brian J. Porter Tel: 416-863-7524 (Nina) Executive Vice-President Fax: 416-863-2803 and Chief Risk Officer E-mail: brian_porter@ scotiacapital.com Scotiabank Executive Offices Scotia Plaza 44 King Street West Toronto, ON M5W 2X6 Dr. Ken C. Rowe Tel: 902-493-3513 (Michelle) Chairman and CEO Fax: 902-453-6674 IMP Group Limited E-mail: ken.rowe@impgroup.com 2651 Dutch Village Road, Suite 400 Halifax, NS B3L 4T1 Mr. Michael J. Russill Tel: 905-338-8767; (Cell) 647 400 9577 70 Allan Street E-mail: mjr@russillandcompany.com Oakville, ON L6J 3M8 Dr. Allan C. Shaw, C.M. Tel: 902-457-0689 Chairman Fax: 902-484-6769 The Shaw Group E-mail: ashaw@shawgroupltd.com 255 Lacewood Drive, Suite 100C Halifax, NS B3M 4G2 Ms. Tanya Shaw Weeks Tel: 902-492-2106 (Farris MacPherson) President and CEO Fax: 902-492-0078 Unique Solutions Design Ltd. E-mail: tsweeks@uniqueltd.com 133 Troop Avenue Dartmouth, NS B3B 2A7 Mrs. Nancy Smithers Tel: 902-434-7206 (Janine) President / Owner Fax: 902-435-3698 Naturally Nova Scotia E-mail: nancy@ naturallynovascotia.com 2769 Lawrencetown Road Dartmouth, NS B2Z 1L3 Mr. Douglas