CPH
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Study Guide
Table of Contents
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Demo/Sample Index
EXAM-WRITING SKILLS VS. KNOWLEDGE OF THE MATERIAL ..................1 IMPORTANT FIGURES (TIMELINES, FINES, AND OTHER NUMBERS) ..........2 1.1 CANADIAN SECURITIES INDUSTRY REGISTRANT CODE OF ETHICS AND STANDARDS OF CONDUCT................................................................................3 The Know Your Client Rule ...................................................................................3 Know Your Product.................................................................................................5 Fiduciary Duty .........................................................................................................6 Registrant Code of Ethics........................................................................................................... 6 Registrant Standards of Conduct ................................................................................................ 6 Summary...................................................................................................................9 THANK YOU AND GOOD LUCK! ..............................................................................10