CPH exam questions and answers with 100% verified |
updated
1. Ethics Ethics goes beyond prescribed conduct to guide behaviour when rules
are unclear or contradictory
2. Fiduciary duty Higher standard than duty of care. Fully, honestly, good faith. Common
law.
3. Ethical
decision 1. Recognize there is a moral issue
making 2. Determine what the moral issue is
process 3. Gather the facts
4. Test right vs wrong
5. Test right vs right
6. Apply resolution principles
7. Make decision'
8. Reflect on the
4. Ethics involves
compliance process spirit of the
with letter of
the law AND law
5. Personal
goals are
Personal goals are end values
6. Core values Beliefs someone has with no justification other than that they are right
7. Ethical Relativism Behaviour is not governed by a universal moral principle
8. Principles of
se- curities RED - Regulation, Enforcement, Disclosure
regula- tion
9. Canada
Business
Corporations Deals with Takeover bids, Proxy, Insider trading
Act (CBCA)
1/
5
, CPH exam questions and answers with 100% verified |
updated
10. FINTRAC Money laundering and terrorist financing
11. IMETs Capital market fraud
12. JSOT Serious law violations
13. Privacy
Commis- sioner Privacy complaints
(PIPEDA)
14. Canadas CIRO
nation- al self
regulation org
15. Prospectus
is classified Disclosure
as
16. Administrator
s can Begin investigation, prosecture for violation, impose santions for
conduct that is contrary to public interest
17. Max penalty
for offences
under 5 million and 5 years less a day
Securities Act
(ontario)
18. CSA Harmonizes provinces
19. CIPF limit is 1 mil
20. If a decision lacks Right vs wrong
basis in truth it is
21. Advantage of
us- ing an ethical Identifies which values are in conflict
res- olution
process
2/
5
updated
1. Ethics Ethics goes beyond prescribed conduct to guide behaviour when rules
are unclear or contradictory
2. Fiduciary duty Higher standard than duty of care. Fully, honestly, good faith. Common
law.
3. Ethical
decision 1. Recognize there is a moral issue
making 2. Determine what the moral issue is
process 3. Gather the facts
4. Test right vs wrong
5. Test right vs right
6. Apply resolution principles
7. Make decision'
8. Reflect on the
4. Ethics involves
compliance process spirit of the
with letter of
the law AND law
5. Personal
goals are
Personal goals are end values
6. Core values Beliefs someone has with no justification other than that they are right
7. Ethical Relativism Behaviour is not governed by a universal moral principle
8. Principles of
se- curities RED - Regulation, Enforcement, Disclosure
regula- tion
9. Canada
Business
Corporations Deals with Takeover bids, Proxy, Insider trading
Act (CBCA)
1/
5
, CPH exam questions and answers with 100% verified |
updated
10. FINTRAC Money laundering and terrorist financing
11. IMETs Capital market fraud
12. JSOT Serious law violations
13. Privacy
Commis- sioner Privacy complaints
(PIPEDA)
14. Canadas CIRO
nation- al self
regulation org
15. Prospectus
is classified Disclosure
as
16. Administrator
s can Begin investigation, prosecture for violation, impose santions for
conduct that is contrary to public interest
17. Max penalty
for offences
under 5 million and 5 years less a day
Securities Act
(ontario)
18. CSA Harmonizes provinces
19. CIPF limit is 1 mil
20. If a decision lacks Right vs wrong
basis in truth it is
21. Advantage of
us- ing an ethical Identifies which values are in conflict
res- olution
process
2/
5
