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CPH Mock Exams & Practice Exam Questions | CSI Conduct & Practices Handbook

CPH mock exams and practice exam questions for CSI Conduct & Practices Handbook. Timed practice sets and detailed explanations in the FINRA Exam Prep app (web, iOS, Android).

On this page

CPH is a scenario exam. Use practice to build fast instincts for:

  • first action
  • what must be documented
  • what must be escalated

Start practicing

Interactive Practice Center

Start a practice session for CPH below, or open the full app in a new tab. For the best experience, open the full app in a new tab and navigate with swipes/gestures or the mouse wheel—just like on your phone or tablet.

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A small set of questions is available for free preview. Subscribers can unlock full access by signing in with the same account used on mobile.

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Use CPH mock exams and practice exam questions to build speed, accuracy, and exam-day pacing for CSI Conduct & Practices Handbook. If the widget above says practice is not available yet, start with the syllabus + cheatsheet now and check back for interactive practice.

Practice modes

  • Timed mock exams: build pacing, endurance, and decision-making under time pressure.
  • Topic drills: fix weak areas fast (best for spaced repetition).
  • Mixed review: combine recent misses with high-yield topics to reinforce retention.
  1. Skim the syllabus and mark high-weight topics.
  2. Drill one topic at a time (untimed first, then timed).
  3. Review explanations immediately and keep a short miss log.
  4. Run a timed mock to measure pacing and coverage.
  5. Re-drill weak sections, then retake a fresh mixed set or mock.

Timing tip

  • Use untimed sets for learning and timed sets for performance.
  • If you keep running out of time, reduce re-reading and aim for a first-pass answer, then review flagged items.

What to pair with practice

  • Overview: what is tested and how to approach questions -> read
  • Syllabus: objectives by topic/domain -> open
  • Cheatsheet: high-yield formulas, tables, and decision pickers -> review
  • Study plan: a simple 30/60/90-day path -> use
  • FAQ: common candidate questions -> see
  • Resources: official references and exam pages -> browse

Tip: The fastest way to improve is to turn every miss into a one-sentence rule and re-drill that topic 48-72 hours later.

Official exam snapshot (CSI)

Item Official value
Exam format Proctored (remote or in-person at a test centre)
Question format Multiple Choice
Questions per exam 100
Exam duration 3 hours
Passing grade 60%
Attempts allowed per exam 3
Hours of study 40 – 55 Hours
Enrolment period 1 Year

Official exam weightings (CSI)

Exam topic Weighting
Standards of Conduct and Ethics, Ethical Decision Making, and Putting it All Together 23%
The Canadian Regulatory Framework 12%
Working with Clients 13%
Client Discovery and Account Opening 13%
Product Due Diligence, Recommendations, and Advice 13%
Trading, Settlement, and Prohibited Activities 13%
Maintaining Client Accounts and Relationships 13%

What CPH is really testing

CPH is less about memorizing isolated rules and more about applying principles consistently:

  • fair dealing and client-first outcomes
  • suitability and documentation discipline
  • supervision and escalation (“when to involve compliance”)
  • market integrity and prohibited practices

Common scenario patterns

  • Account opening / updates: missing KYC, outdated risk profile, insufficient documentation.
  • Suitability: recommendation doesn’t match objectives/time horizon/liquidity.
  • Conflicts: referral fees, outside business activities, gifts/entertainment, self-dealing.
  • Complaints: what to do immediately, what to document, what not to promise.
  • AML: suspicious activity red flags, recordkeeping, escalation.

How to prepare

  1. Learn the workflows in the Cheatsheet (what to do first, what to document, when to escalate).
  2. Use the Syllabus as a checklist.
  3. Practice scenario questions weekly and write “first action” rules in your miss log.

✅ Next: open the Syllabus or start with the Study Plan .

Sources: https://www.csi.ca/en/learning/courses/cph/curriculum and https://www.csi.ca/en/learning/courses/cph/exam-credits

Cheat Sheet
FAQ