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CPH

®

Study Guide

Table of Contents

Designed for use with the money-back-guaranteed

Online CPH

®

Practice Exams and Flash Cards

available a

t www.SeeWhyLearning.com.

SeeWhy Financial Learning

© 2016 SeeWhy Financial Learning

All rights reserved. No part of this publication may be reproduced or transmitted by

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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