CSI CPH Conduct and Practices Handbook Study Guide

Use this page as the main CSI Conduct and Practices Handbook Course guide. CPH covers broad conduct and client-account behaviour: ethics, client discovery, account opening, suitability, product due diligence, trading conduct, complaints, and account maintenance all matter.

Quick links

• Study Plan
• Cheat Sheet
• FAQ
• Resources
• CPH web practice

Use matching web practice when you want timed mixed review, current progress tracking on Web, and a cleaner handoff from reading into exam-mode repetition.

CPH study guide lessons

Start with the high-weight ethics and conduct material, then move through regulatory framework, client work, account opening, suitability, trading, and account maintenance.

• Standards of Conduct and Ethics, Ethical Decision Making, and Putting it All Together
• The Canadian Regulatory Framework
• Working with Clients
• Client Discovery and Account Opening
• Product Due Diligence, Recommendations, and Advice
• Trading, Settlement, and Prohibited Activities
• Maintaining Client Accounts and Relationships

Section lessons

• Standards of Conduct and Ethics
• Ethical Decision Making
• Putting it All Together
• The Canadian Regulatory Framework
• Working with Clients
• Client Discovery and Account Opening
• Product Due Diligence, Recommendations, and Advice
• Trading, Settlement, and Prohibited Activities
• Maintaining Client Accounts and Relationships

Exam snapshot

Where CPH fits

How to use this guide well

• Learn the first-correct-action discipline before you worry about speed.
• Keep conduct, client discovery, suitability, and account maintenance in one frame, because CPH often rewards the better operational sequence, not just the technically true rule.
• Use the review pages for rules and workflow, then use practice questions to train speed on the 100-question structure.
• If your real need is branch supervision rather than representative conduct judgement, compare with BCO.

What stronger CPH answers usually do

• identify the client-protection issue before they discuss product detail
• choose the answer with the stronger disclosure, documentation, or escalation path when two answers look plausible
• treat KYC, KYP, suitability, and complaints as connected conduct duties, not isolated rules
• slow down on trading, maintenance, and complaint questions long enough to catch the operational sequence

Practice this exam

Use this free guide for review, then Start CPH Practice on Finance Prep for timed questions, topic drills, and detailed explanations.

In this section

• CPH Standards of Conduct and Ethics, Ethical Decision Making, and Putting it All Together Guide
  CSI CPH guide to standards of conduct and ethics, ethical decision making, and putting it all together, with section lessons, conduct priorities, and exam-focused review checkpoints.
  • CPH Standards of Conduct and Ethics Guide
    Study standards of conduct and ethics for CSI CPH with learning objectives, conduct checkpoints, decision rules, and review priorities.
  • CPH Ethical Decision Making Guide
    Study ethical decision making for CSI CPH with learning objectives, conduct checkpoints, decision rules, and review priorities.
  • CPH Putting it All Together Guide
    Study putting it all together for CSI CPH with learning objectives, conduct checkpoints, decision rules, and review priorities.
• CPH the Canadian Regulatory Framework Guide
  CSI CPH guide to the canadian regulatory framework, with section lessons, conduct priorities, and exam-focused review checkpoints.
  • CPH the Canadian Regulatory Framework Guide
    Study the canadian regulatory framework for CSI CPH with learning objectives, conduct checkpoints, decision rules, and review priorities.
• CPH Working with Clients Guide
  CSI CPH guide to working with clients, with section lessons, conduct priorities, and exam-focused review checkpoints.
  • CPH Working with Clients Guide
    Study working with clients for CSI CPH with learning objectives, conduct checkpoints, decision rules, and review priorities.
• CPH Client Discovery and Account Opening Guide
  CSI CPH guide to client discovery and account opening, with section lessons, conduct priorities, and exam-focused review checkpoints.
  • CPH Client Discovery and Account Opening Guide
    Study client discovery and account opening for CSI CPH with learning objectives, conduct checkpoints, decision rules, and review priorities.
• CPH Product Due Diligence, Recommendations, and Advice Guide
  CSI CPH guide to product due diligence, recommendations, and advice, with section lessons, conduct priorities, and exam-focused review checkpoints.
  • CPH Product Due Diligence, Recommendations, and Advice Guide
    Study product due diligence, recommendations, and advice for CSI CPH with learning objectives, conduct checkpoints, decision rules, and review priorities.
• CPH Trading, Settlement, and Prohibited Activities Guide
  CSI CPH guide to trading, settlement, and prohibited activities, with section lessons, conduct priorities, and exam-focused review checkpoints.
  • CPH Trading, Settlement, and Prohibited Activities Guide
    Study trading, settlement, and prohibited activities for CSI CPH with learning objectives, conduct checkpoints, decision rules, and review priorities.
• CPH Maintaining Client Accounts and Relationships Guide
  CSI CPH guide to maintaining client accounts and relationships, with section lessons, conduct priorities, and exam-focused review checkpoints.
  • CPH Maintaining Client Accounts and Relationships Guide
    Study maintaining client accounts and relationships for CSI CPH with learning objectives, conduct checkpoints, decision rules, and review priorities.
• CPH Study Plan (30 / 60 / 90 Days)
  A practical CSI CPH study plan with 30-day, 60-day, and 90-day tracks aligned to the official weighting, current route note, and matching web practice.
• CPH Cheat Sheet — High-Yield Rules, Workflows, Decision Tables and Glossary
  Last-mile CSI CPH review: KYC and suitability workflow, conflicts, communications, complaints, AML, market integrity, supervision, plus a large compliance terminology glossary.
• CPH FAQ — Common Questions About Structure, Study Strategy, and Compliance Judgment
  Frequently asked questions for CPH: exam structure, study expectations, scenario judgment, and how to use this guide.
• CPH Resources — Official CSI Links
  Official CSI resources for CPH: course page, curriculum, exam credits, and the current course-status note around CIRO approval.