This badge was issued to Nawen Wang on 06 Mar 2022.
Conduct and Practices Handbook Course (CPH®)
Issued by
Canadian Securities Institute
This digital credential indicates that the individual has completed the Conducts and Practices Handbook Course (CPH®). Completing this course validates that they have a keen understanding of standards of conduct and practices when dealing with client accounts and special transactions and products. They are also well-versed with the rules, policies and by-laws of the provincial securities commissions and the self-regulatory organizations.
Additional DetailsSkills
Earning Criteria
Standards
CIRO is the national self-regulatory organization that oversees all investment dealers, mutual fund dealers, and trading activity on Canada’s debt and equity marketplaces and is carrying on the regulatory functions of IIROC and the MFDA. This course meets CIRO's investment dealer proficiency requirements.