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CPH Outline > Chapters > Flashcards

Chapters Flashcards

0
Q

Ch2

A

Regulation of the securities industry

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1
Q

Ch1

A

Canadian securities industry registrant code of ethics and standards of conduct

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2
Q

Ch3

A

Registrant of securities industry participants

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3
Q

Ch4

A

Account opening procedures

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4
Q

Ch5

A

Sales and trading conduct

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5
Q

Ch6

A

Placing orders for securities

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6
Q

Ch7

A

Cash and margin account rules

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7
Q

Ch8

A

Communications with clients

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8
Q

Ch9

A

Bringing new issues to market

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9
Q

Ch10

A

Take-over bids, insider bids and issuer bids

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CPH Outline (12 decks)

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