Make The Right Choices For Your Clients
The Conduct and Practices Handbook Course (CPH)® is your guide to understanding the rules, regulations, practices and ethics that will guide your career as an investment advisor or representative.
- Become a Licensed Investment Advisor or Investment Representative
- Assist in meeting IIROC's proficiency requirements for licensing.
- Improve Your Employment Prospects
- Improve your employability by gaining the education employers and regulators require.
Who Should Enrol?
Enrol in the CPH® if you:
- Are subject to meeting IIROC registration proficiency requirements that include this course
- Are a financial services professional
- Want a broader understanding of regulations governing securities professionals
What credentials can you earn?
Learn the Business Of Ethics
The CPH® covers the rules, policies, and by-laws of the provincial securities commissions and the self-regulatory organizations. Learn about standards of conduct and practices when dealing with client accounts and special transactions and products. Case studies provide practical knowledge of:
- Standards of conduct and ethics in the securities industry
- The Canadian regulatory environment
- Client discovery and the account opening process
- Product due diligence, suitability, and know-your-client requirements
- Dealing appropriately with clients and managing conflicts of interest
- Placing orders for securities and handling client accounts
How will you learn?
CSI offers a variety of options to help you learn at your own pace. Study online, by textbook or using a combination of both.
Learning Experience
CSI's online learning system helps you meet your study goals. You'll benefit from:
- Learning objectives and goals that keep you focused
- Interactive tools to help you evaluate and apply course material
- Post-chapter tests to assess your progress
- Course updates to ensure you’re learning the most current and up-to-date practical material in your studies
- An online study planner that shows you how to complete your studies in a 3-, 6-, 9-, and 12-month window
- Online discussion forums and assistance from CSI's academic support specialists
What's New
Reorganized into one textbook comprised of two major sections. The textbook was fully rewritten to improve readability and to align the course with IIROC's Plain Language Rule Book.
What you'll learn
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Topics covered in this chapter are:
Standards of Conduct and Ethics
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Integrating Ethics with Industry Rules
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Rules of Thumb to Guide the Conduct of Registered Representatives
Topics covered in this chapter are:
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Overview of Ethics
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The Relationships Between Values, Ethics, and the Law
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Value Awareness
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Ethical Dilemmas
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Ethical Decision Making
Topics covered in this chapter are:
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General Principles of Securities Regulation
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Key Government Players Involved in Securities Regulation
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Self-Regulatory Organizations
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Investor Protection Funds
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Money Laundering and Terrorist Financing in the Securities Industry
Topics covered in this chapter are:
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Registration Requirements of a Registered Representative
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Communication with the Public
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General Regulations and Guidelines for Sales Literature
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Dealing with Clients
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Privacy and Cybersecurity
Topics covered in this chapter are:
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Opening Accounts
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The New Account Application Form
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Completing the New Account Application Form
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Disclosures
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Client Records
Topics covered in this chapter are:
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Suitability of Investments and Investment Strategies
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Product Due Diligence
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New Issues and Prospectus Exemptions
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Take-over Bids and Issuer Bids
Topics covered in this chapter are:
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How Securities Are Traded
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Types of Orders
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Sales and Trading Conduct
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Prohibited Activities
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Settlements, Transfers, and Corrections
Topics covered in this chapter are:
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Accounting for Client Transactions
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Margin Accounts
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Cash Accounts
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Communicating Trading Information to Customers
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Client Complaints and Account Transfer Requests
Topics covered in this chapter are:
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Review of Good Conduct and Practices
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Case Study: The Chengs' Accounts