CPH Exam Correctly Solved Questions And Answers {100%
Correct} 2025|2026 (Updated)
1. When are suitability requirements For brokers who do not provide investment
not applicable?
advice or operate as a separate legal entity
2. How is a new product approved? After review from the New product Committee
3. What are the ethical principles Trust, integrity, justice, fairness, and honesty
for a code of ethics?
4. What are the 5 Standards of Conduct? Duty of Care, Trustworthiness, Honesty, and Fair
ness, Professionalism, Conduct in Accordance
with Securities Acts, Confidentiality
5. What falls under the Standard of KYC, Due Diligence, Unsolicited Orders
Duty of Care?
6. What falls under the Standard of Trust- Priority of Client Interests, Protection of Client As
worthiness, Honesty, and Fairness? sets, Complete and Accurate Information, Disclo- sure
Client Orders, Trades by Registered Individuals,
7. What falls under the Standard of Approved Securities, Personal Financial Dealings
Pro- fessionalism?
with Clients, Personal Trading Activity, Continuous
Education
8. What falls under the Standard of
Inside Information
Con- duct of Conduct in Accordance
with Se- curities Acts?
9. What falls under the Standard of
Con- fidentiality?
Client Information, Use of Confidential Informa- tion
10. When can SRO's and
commissions share is in an investigation
information?
, CPH Exam Correctly Solved Questions And Answers {100%
Correct} 2025|2026 (Updated)
11. What are the fines under the $10,000 to $100,000
Personal Information Protection
and Electronic Documents Act?
12. Where does the Personal
Information Protection and
BC, Alberta, and Quebec
Electronic Documents act not apply
due to similar legislation?
13. What is the main mandate of securities Promote the Integrity of the Markets and Ensur
regulators? Investor Protection
14. What are the 3 principles of Disclosure, Registration, Enforcement
securities regulation?
15. What is the maximum penalty for
of- fences under the Ontario Fine of 5 million and a 5 year prison term, additionally
Securities Act? provinces can order repayment of
$100,000 to investors
16. What is the Disciplined Persons List? A list of those who have been sanctioned for mar-
ket misconduct
17. What is the integrated Market Enforce- Cooperative ettort between the RCMP and the
ment Team? Federal government
18. What is the Joint Serious Joint ettort between the OSC and the RCMP
Offences Team?
19. What is the CSA? Overseer of securities regulators that meets quar-
terly in person and monthly by conference call
20. What is SEDAR? Electronic filing system for regulatory filings
21. What is SEDI? Insider reports
, CPH Exam Correctly Solved Questions And Answers {100%
Correct} 2025|2026 (Updated)
22. When should trades be reported Within 5 days
to SEDI?
23. When should event reports be
report- ed to SEDI Within 1 business day
24. What is the NRD? Database for registration that applies across
Canada
25. What is an AFR? Authorized Firm Representative, must submit in-
formation to the NRD
26. When must a change regarding Within 10 days of the change
firms or individuals be submitted
to the NRD?
27. When must a change regarding
citi- zenship or employment be
Within 30 days
submitted to the NRD?
28. What is the policy for short-term
dis- ability leaves with the NRD?
Any supervisory position leaves must be reported,
29. When must termination of but for regular employees nothing less than a 3
employ- ment be reported to the month leave must be reported
NRD?
Within 10 days
30. When must material changes to regis- Within 10 days
trants be reported to the NRD?
31. When must material changes to regis- Within 2 business days
trants be reported to the employer?
Correct} 2025|2026 (Updated)
1. When are suitability requirements For brokers who do not provide investment
not applicable?
advice or operate as a separate legal entity
2. How is a new product approved? After review from the New product Committee
3. What are the ethical principles Trust, integrity, justice, fairness, and honesty
for a code of ethics?
4. What are the 5 Standards of Conduct? Duty of Care, Trustworthiness, Honesty, and Fair
ness, Professionalism, Conduct in Accordance
with Securities Acts, Confidentiality
5. What falls under the Standard of KYC, Due Diligence, Unsolicited Orders
Duty of Care?
6. What falls under the Standard of Trust- Priority of Client Interests, Protection of Client As
worthiness, Honesty, and Fairness? sets, Complete and Accurate Information, Disclo- sure
Client Orders, Trades by Registered Individuals,
7. What falls under the Standard of Approved Securities, Personal Financial Dealings
Pro- fessionalism?
with Clients, Personal Trading Activity, Continuous
Education
8. What falls under the Standard of
Inside Information
Con- duct of Conduct in Accordance
with Se- curities Acts?
9. What falls under the Standard of
Con- fidentiality?
Client Information, Use of Confidential Informa- tion
10. When can SRO's and
commissions share is in an investigation
information?
, CPH Exam Correctly Solved Questions And Answers {100%
Correct} 2025|2026 (Updated)
11. What are the fines under the $10,000 to $100,000
Personal Information Protection
and Electronic Documents Act?
12. Where does the Personal
Information Protection and
BC, Alberta, and Quebec
Electronic Documents act not apply
due to similar legislation?
13. What is the main mandate of securities Promote the Integrity of the Markets and Ensur
regulators? Investor Protection
14. What are the 3 principles of Disclosure, Registration, Enforcement
securities regulation?
15. What is the maximum penalty for
of- fences under the Ontario Fine of 5 million and a 5 year prison term, additionally
Securities Act? provinces can order repayment of
$100,000 to investors
16. What is the Disciplined Persons List? A list of those who have been sanctioned for mar-
ket misconduct
17. What is the integrated Market Enforce- Cooperative ettort between the RCMP and the
ment Team? Federal government
18. What is the Joint Serious Joint ettort between the OSC and the RCMP
Offences Team?
19. What is the CSA? Overseer of securities regulators that meets quar-
terly in person and monthly by conference call
20. What is SEDAR? Electronic filing system for regulatory filings
21. What is SEDI? Insider reports
, CPH Exam Correctly Solved Questions And Answers {100%
Correct} 2025|2026 (Updated)
22. When should trades be reported Within 5 days
to SEDI?
23. When should event reports be
report- ed to SEDI Within 1 business day
24. What is the NRD? Database for registration that applies across
Canada
25. What is an AFR? Authorized Firm Representative, must submit in-
formation to the NRD
26. When must a change regarding Within 10 days of the change
firms or individuals be submitted
to the NRD?
27. When must a change regarding
citi- zenship or employment be
Within 30 days
submitted to the NRD?
28. What is the policy for short-term
dis- ability leaves with the NRD?
Any supervisory position leaves must be reported,
29. When must termination of but for regular employees nothing less than a 3
employ- ment be reported to the month leave must be reported
NRD?
Within 10 days
30. When must material changes to regis- Within 10 days
trants be reported to the NRD?
31. When must material changes to regis- Within 2 business days
trants be reported to the employer?
