CPH® (Conduct and Practices Handbook) Course

Your Path to Professional Standards in the Canadian Securities Industry

The Conduct and Practices Handbook (CPH) is a crucial step for anyone seeking to register with the Canadian Investment Regulatory Organization (CIRO) or comply with Canada’s robust provincial securities regulations. This guide provides clear, thorough explanations of rules, ethical guidelines, and best practices—empowering you to align with the highest professional standards and client protection mandates.

What Makes This Resource Stand Out?

1. Straightforward Explanations
   We break down the most complex CIRO rules and provincial requirements into digestible sections. Gain the clarity you need to master compliance, suitability, and disclosure obligations without feeling overwhelmed.

2. 10 FREE Sample Questions per Page
   Practice is core to understanding the intricacies of Canadian securities regulations. Each page includes scenario‐based questions reflecting real exam challenges—reinforcing your learning step by step.

3. Extensive Quiz Bank
   Strengthen your knowledge with thousands of additional quizzes covering everything from registration categories and ethical codes to know‐your‐client (KYC) procedures and handling of confidential information.

4. Community-Driven & Open Source
   Our collaborative approach ensures that the information is always up‐to‐date and vetted by industry peers. You’re welcome to contribute real‐life examples, clarify new guidelines, or expand on any section via GitHub.

Topics Covered

We align our chapters with the official CPH course curriculum and regulatory guidelines, including:

• CIRO Oversight and Provincial Securities Regulation
• Registration Categories and Licensing Requirements
• Ethics & Professional Conduct (code of ethics, fiduciary duties, conflict of interest)
• Client‐Focused Reforms (KYC, KYP, and suitability obligations)
• Handling of Client Accounts (complaint handling, dispute resolution)
• Compliance Frameworks (reporting, record keeping, operational controls)
• Anti‐Money Laundering (AML) and Anti‐Terrorist Financing Regulations
• Enforcement and Disciplinary Processes (roles of CIRO, provincial commissions)

Each chapter is broken into succinct topics so you can strategically focus your study.

Why Contribute?

• Collaborative Expertise: Share your regulatory insights, practical cases, or clarifications. Real‐world scenarios from different firm types help future candidates truly grasp the nuances of compliance.
• Keep Current: Securities regulations and CIRO guidelines can change. With community feedback, we can maintain an updated resource reflecting the latest amendments and policy decisions.
• Enhance Mastery: Explaining compliance topics to others is one of the best ways to confirm your own understanding—especially for a principles‐based exam like the CPH.

Ready to Elevate Your Professional Knowledge?

1. Explore Each Chapter: Delve into the core topics of registration, conduct, and practices.
2. Test and Refine: Capitalize on free sample questions and the broader quiz bank to solidify your command of ethics and compliance concepts.
3. Collaborate on GitHub: Discuss new rules, share client‐facing scenarios, or propose clarifications to existing material.
4. Focus on Growth: The CPH exam isn’t just a requirement—it’s a quintessential tool for building trust, credibility, and success in your securities career.

Master the CPH for a Successful Investment Career

By merging up‐to‐date regulatory know‐how, practical learning tools, and a supportive community, this open‐source resource helps you navigate the Conduct and Practices Handbook with ease. Gain the confidence to meet and exceed Canada’s highest standards in ethical financial advice.

Disclaimer:
This content is for educational purposes only and does not replace official CPH course materials or CSI guidelines. CSI does not endorse or warrant the accuracy of the information provided. Always refer to CIRO and provincial regulations for official requirements.