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CPH Exam: Conduct and Practices Handbook Course™

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 Information

Time Limit:	3 hours
Number of Questions:	100 questions
Passing Score:	60%
Format:	Multiple Choice
Enrollment Fee:	Fees vary according to whether an individual is a private student or is employed at the IDA or a member firm.
Prerequisites:	Not applicable. However, it is usually common practice to complete the Canadian Securities Course (CSC™) prior to the CPH course.
Exam Date(s):	Varies according to the Canadian city in which the exam will be written. Please see CSIs schedule here.
Exam Locations:	Canada
Official Exam Website:	Canadian Securities Institute

Additional Exam Details

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.

Terms to Know

• Chinese Wall

• Insider

• Investment Advisor

• Limit Order

• Margin

• Money Laundering

• Principal

• Rescission

• Red Herring

• Selling Away