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CSI Conduct and Practices Handbook Course (CPH®) Examination — Information & Free Practice

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About CSI Conduct and Practices Handbook Course (CPH®) Examination

CSI Conduct and Practices Handbook Course (CPH®) Examination · CA

Key exam facts

Provider
Canadian Securities Institute (CSI), course and examination provider; Prometric is CSI's exam delivery partner.
Format
One proctored multiple-choice exam, remotely or in person at a test centre.
Exam questions
Total questions: 100.
Time limit
3 hours (published exam duration).
Passing score
60% passing grade.
Exam fee
First attempt included in course enrolment: $641 with PDF textbook or $681 with hard-copy textbook. Second and subsequent exam attempts: $300 each. All fees taxable; shipping and handling apply to printed materials. Amounts and currency symbol reproduced as displayed by CSI ($).

Topics covered

  • Standards of Conduct and Ethics, Ethical Decision Making, and Putting it All Together (23%)

    • Chapter 1 - Standards of Conduct and Ethics
    • Standards of Conduct and Ethics
    • Integrating Ethics with Industry Rules
    • Rules of Thumb to Guide the Conduct of Registered Representatives
    • Chapter 2 - Ethical Decision Making
    • Overview of Ethics
    • The Relationships Between Values, Ethics, and the Law
    • Value Awareness
    • Ethical Dilemmas
    • Ethical Decision Making
    • Chapter 9 - Putting it All Together
    • Review of Good Conduct and Practices

  • The Canadian Regulatory Framework (12%)

    • Chapter 3 - The Canadian Regulatory Framework
    • General Principles of Securities Regulation
    • Key Government Players Involved in Securities Regulation
    • Self-Regulatory Organization
    • Investor Protection Funds
    • Money Laundering and Terrorist Financing in the Securities Industry

  • Working with Clients (13%)

    • Chapter 4 - Working with Clients
    • Registration Requirements of a Registered Representative
    • Communication with the Public
    • General Regulations and Guidelines for Sales Literature
    • Dealing with Clients
    • Privacy and Cybersecurity

  • Client Discovery and Account Opening (13%)

    • Chapter 5 - Client Discovery and Account Opening
    • Opening Accounts
    • The New Account Application Form
    • Completing the New Account Application Form
    • Disclosures
    • Client Records

  • Product Due Diligence, Recommendations, and Advice (13%)

    • Chapter 6 - Product Due Diligence, Recommendations, and Advice
    • Suitability of Investments and Investment Strategies
    • Product Due Diligence
    • New Issues and Prospectus Exemptions
    • Take-over Bids and Issuer Bids

  • Trading, Settlement, and Prohibited Activities (13%)

    • Chapter 7 - Trading, Settlement, and Prohibited Activities
    • How Securities Are Traded
    • Types of Orders
    • Sales and Trading Conduct
    • Prohibited Activities
    • Settlements, Transfers, and Corrections

  • Maintaining Client Accounts and Relationships (13%)

    • Chapter 8 - Maintaining Client Accounts and Relationships
    • Accounting for Client Transactions
    • Margin Accounts
    • Cash Accounts
    • Communicating Trading Information to Customers
    • Client Complaints and Account Transfer Requests

How to prepare

Work through the topics, read the explanation after each answer, and revisit the areas where you miss questions. Use the official outline and reference materials below to guide your study.

These independent practice questions are not actual exam items and do not guarantee a passing result.

Frequently asked questions

What is the exam format?

One proctored multiple-choice exam, remotely or in person at a test centre.

How many questions are on the exam?

Total questions: 100.

How long is the exam?

3 hours (published exam duration).

What is the passing score?

60% passing grade.

How much does the exam cost?

First attempt included in course enrolment: $641 with PDF textbook or $681 with hard-copy textbook. Second and subsequent exam attempts: $300 each. All fees taxable; shipping and handling apply to printed materials. Amounts and currency symbol reproduced as displayed by CSI ($).

Official sources and references

Confirm current exam arrangements with the exam provider.