Professional Conduct And Practices | St. Clair College
Course Code
FIN602
Course Credit
3

The Conduct and Practices Handbook offered by the Canadian Securities Institute covers the rules regulations practices and ethics that guide one's career as an investment advisor or representative. Passing the CPH exam or its equivalent is required amongst other things in order to become a Registered Representative that can sell products such as stocks and bonds. This course provides an introduction to the rules policies and by-laws of the provincial securities commissions and the self-regulatory organizations. Applied ethics including values personal responsibility and corporate responsibility are also examined. This course is intended to provide a strong foundation towards taking the Conduct and Practices Handbook certification course.