Conduct and Practices Handbook™

A course, offered by the Canadian Securities Institute (CSI), that allows a finance professional who advises clients, takes clients orders, supervises branch activities and/or executes trades as a principal or agent, to gain proficiency on the rules and regulations associated with the investment industry.

Exam Details

Time Limit: 3 hours
Cost: Varies
Number of Questions: 120
Passing Score: 60%
Format: Multiple Choice
Prerequisites: N/A
Exam Date: Varies according to the Canadian city in which the exam will be written. Please see CSIs schedule here.
Exam Locations: Canada; Computer-based exams also available in Toronto and Montreal
Offical Exam Website: Canadian Securities Institute


Exam Topic Weights

The Conduct and Practices Handbook course consists of one textbook, which is provided by the Canadian Securities Institute upon enrollment. Be sure to check for updates in the CSI Interactive section. You are required to log-in to access updates to the textbook. If an update was made prior to June but after January of the same year, the update is examinable beginning in June. If an update is released after June but before January of the following year, the update is examinable at the beginning of January. The CSI provides a list of release dates and when the material is examinable.

CPH Exam Topic Weights By Section

Terms To Know




Marketplace
Professionals FAQs
  1.

    Where can I look for a financial planner?

    References from trusted friends or family members can help you find a financial planner; however, keep in mind that your friends' financial situations and goals may differ from yours and, therefore, their planners won't necessarily be the best fit for you.The Certified Financial Planner (CFP) Board of Standards certifies financial planners and maintains an online list of certified financial planners on its CFP Board of Standards website.

  2. If I am looking to get an Investment Banking job. What education do employers prefer? MBA or CFA?

    If you are looking specifically for an investment banking position, an MBA may be marginally preferable over the CFA. The caveat here is that the MBA would most probably need to be from a Top-20 B-School.The Chartered Financial Analyst (CFA) is well worth considering if you (a) are aiming for an entry-level position in investment banking, and/or (b) cannot afford to shell out six figures for an MBA or have to settle for a lesser-known B-school.That's because in the investment banking field, most entry-level positions are at the analyst level.

  3. Can I still pass the CFA Level I if I do poorly in the ethics section?

    You may still pass the Chartered Financial Analysis (CFA) Level I even if you fare poorly in the ethics section, but don't count on it. The CFA Institute has long emphasized that ethics is a particular area of focus for it. The seriousness with which the CFA Institute views ethics is evident from the fact that for exam candidates with borderline total scores, performance on the ethics section can mean the difference between passing and failing the exam.

  4. Under the USA, registration as an IAR includes all of the following EXCEPT:

    Under the USA, registration as an IAR includes all of the following EXCEPT: A. Minimum net capitalB. Passing a qualification examC. Filing a consent to service of processD. Posting a surety bond The correct answer is "A", since only an IA would need to prove minimum net capital requirements.
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