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Conduct and Practices Handbook Course

Conduct and Practices, a course provided by the Canadian Securities Institute, includes all the rules and regulations that a person needs to know to work in the securities industry in Canada.

Study Notes for the Conduct and Practices Handbook Course provides detailed information for the "need-to-know" content of this course in an easy to read and study format. Practice questions with answers are provided for each chapter as well as one sample exam for the course.

Table of Contents

  1. Placing Orders for Securities
  2. Cash and Margin Account Rules
  3. Communications with Clients

Section 3: Special Transactions and Products

  1. Bringing Securities to Market and Maintaining Publicly Trading Status
  2. Takeover Bids, Insider Bids, and Issuer Bids.

Section 1: The Regulatory Environment

  1. Canadian Securities Industry Registrant Code of ethics and Standards of Conduct
  2. Regulation of the Securities Industry
  3. Registration of Securities Industry Participants

Section 2: Dealing with Client Accounts

  1. Account Opening Procedures
  2. Sales and Trading Practices

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Price

Study Notes

$59.95*
Conduct and Practices Handbook
Shipping and GST are extra.
*
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