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.
Learn how you can extend your CPH validity period with IIROC's Voluntary Participation Program.
- Learn more if you're buying for a team
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
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:
- The standards of conduct including the "Know Your Client" rule
- Specific self-regulatory organizations' rules governing conduct
- Provincial securities legislation
- Guidelines for appropriate dealings with clients
- Ethics theory and application in a securities firm environment
- The Canadian regulatory environment
How you'll 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.
Measure your progress
CSI's online learning system helps you meet, and even exceed, 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
- A customizable calendar
- Online discussion forums and assistance from CSI's academic support specialists
|Approximate Hours of Study**|
|Hours of Study||40 - 55 hours|
** In order to provide some guidance to course participants as to the length of time it will take to be sufficiently prepared to write the final examination, CSI has prepared this estimate of the number of hours an average participant could possibly expect to spend studying for a course. Please note that these are only recommended hours of study developed based on research and our course content, however, this does not mean that some students with exceptional backgrounds would not take less time than recommended or that students with no background at all in finance or economics would not take longer than the maximum.
(weightings are approximate)
|Regulation of the Securities Industry||13%|
|Registration of Securities Industry Participants||12%|
|Account Opening Procedures||8%|
|Sales and Trading Conduct||8%|
|Placing Orders for Securities||6%|
|Cash and Margin Account Rules||7%|
|Communications with Clients||7%|
|Bringing New Issues to Market and Take-over Bids, Insider Bids and Issuer Bids||13%|
|Canadian Securities Industry Registrant Code of Ethics and Standards of Conduct||10%|
|Ethics, Individual and Corporate Responsibility, and Ethical Decision Making||16%|
|Exam Format||Paper Or Computer Based|
|Exam Length||3 Hours|
|Question Format||Multiple Choice|
|Questions Per Exam||120|
|Attempts Allowed Per Exam||3*|
|Enrolment Period||1 year†|
|COURSE COMPLETION NOTICE AND WALL CERTIFICATE|
On successful completion of this course you will be able to download a Notice of Course Completion available through your student profile. This will remain on your profile as formal indication of course completion.
CSI will mail you a wall certificate within 4 - 6 weeks of course completion. Frames to display your certificate are available. Please ensure that your First and Last Name on your profile match your First and Last Name on your Government Issued Photo identification - this will ensure you receive an accurate certificate.
CSI will be pleased to issue an Honors Certificate to all students who obtain a final course mark of 85% or higher.
*There is no charge for your first attempt at a paper-based exam within Canada, as long as it's at a regular exam center and you provide a minimum of 14 days notice before the date that you want to write the exam. If you would like to write a computer-based exam, an additional fee will be required.
Each subsequent paper-based exam attempt at a regular exam centre within Canada will also require an additional fee. This fee is in addition to any special, computer-based or international fees that may apply. You must provide a minimum of 14 days notice within Canada at a regular exam centre and 4 weeks notice for all other centres. Please note that the date of the exam is not part of any notice period.
†Please note: Access to your online materials will close 2 weeks after successful course completion or course expiry (whichever comes first). This course can be extended by 1 year provided you have not exceeded the attempts allowed for each exam. Extension fees apply. Your enrolment period can only be extended one time.
Important: During a student's enrolment period, CSI may update this course. In that case, details about the update and how it may affect students will be posted online via My CSI. Students are held responsible for and are examinable on the content in the course textbook(s) provided at the time of enrollment unless stated otherwise in My CSI. Students are encouraged to check My CSI regularly throughout their enrolment period.
Continuing Education (CE) Credits
Click the links below or the buttons at the top of the page on the right side to access CE accreditation information. To search for specific course information, press Ctrl + F and then enter the course name to search the document for the information you are interested in.
National/Provincial (Excluding Quebec)
Download CE Chart (PDF, 163 kb)
Download IQPF/CSF Chart (PDF, 182 kb)
Please note: While CSI makes every effort to ensure that the information is up-to-date, we are unfortunately unable to fully guarantee its accuracy. The information listed in the charts above may be subject to change.
More detailed information on CE Credits are available.