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Ethical Practice Course Workbook ICCRC CRCIC Form

Ethical Practice Course Workbook ICCRC CRCIC Form

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welcome to chapter one of the cph course or the conduct and practices handbook course chapter one is all about the standards of conduct and ethics and uh this uh this textbook or this course it is typically taken right after the canadian securities course i will be going over each of the nine chapters so stay tuned for that um as i mentioned this chapter is all about these standards and conduct of ethics and it is a pretty short chapter but let's jump into it so first off um you do need to know that there is some conduct that does contravene from expected standards in the industry first off negligence of duty so registered representatives or rrs they have a duty to operate with a high standard of ethics and conduct at all times failure to comply with legal regulatory and contractual obligations um will uh be something that will contravene that expected standard so you do need to follow iroc rules regulations and policies rules and regulations of the applicable securities commission or

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