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CIRO RSE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Fixed Income | Approximately 8.3% | - Yield and pricing - Interest rate risk - Credit risk - Government and corporate bonds |
| Topic 2: Monitoring, Reporting and Maintaining Client Relationships | Approximately 5.8% | - Client relationship management - Performance reporting - Account monitoring - Ongoing suitability review |
| Topic 3: Portfolio Construction | Approximately 10.8% | - Portfolio risk management - Asset allocation - Diversification |
| Topic 4: Securities Analysis | Approximately 11.7% | - Fundamental analysis - Financial statement interpretation - Technical analysis |
| Topic 5: Equities | Approximately 10% | - Valuation concepts - Common and preferred shares - Equity markets |
| Topic 6: Execution and Market Integrity | Approximately 5.8% | - Order handling - Best execution - Market integrity rules |
| Topic 7: Know-Your-Client (KYC) and Suitability | Approximately 22.5% | - Client profile collection and maintenance - Investment objectives and risk tolerance - Regulatory obligations - Know-Your-Product (KYP) - Suitability assessment |
| Topic 8: Investment Recommendations | Approximately 11.7% | - Client communication - Recommendation development - Product selection |
| Topic 9: Managed Products and Other Investments | Approximately 13.3% | - Exchange-traded funds (ETFs) - Alternative investments - Mutual funds - Structured products |
CIRO Retail Securities Sample Questions:
1. What is the primary purpose of collecting client information as part of the know-your-client (KYC) obligation?
A) To provide information for ensuring regulatory compliance and risk management
B) To ensure the services and investments provided help meet the client's financial goals
C) To provide internal records and data for inventory management and forecasting
D) To ensure customer preferences are understood for tailored marketing strategies
2. An Investment Dealer has completed their investigation of a client's complaint. What is the correct next step?
A) Call the client to discuss the findings with them personally
B) Respond in writing with the investigation results and final decision
C) Close the complaint upon completion of the investigation
D) Discuss with the client as and when they request an update
3. An Investment Dealer is redeeming a managed product for a $110,000 gain. Calculate the capital gains tax the investor is liable for if they have a marginal tax rate of 40%?
A) $60,000
B) $22,000
C) $55,000
D) $44,000
4. A managed fund earns a gross return of 8.4% before expenses. Its management expense ratio is 1.9%, and its trading expense ratio is 0.3%. Ignoring taxes and compounding, what approximate return remains for investors after these expenses?
A) 6.2%
B) 5.9%
C) 6.5%
D) 8.1%
5. Which tax strategy is the most beneficial when recommending investments to maximize client returns?
A) Focusing on high-dividend stocks to maximize tax credits
B) Encouraging frequent trading to capitalize on short-term market gains
C) Using tax-loss harvesting to offset gains and reduce taxable income
D) Investing in a diverse mix of tax-exempt bonds to eliminate tax liability
Solutions:
| Question # 1 Answer: B | Question # 2 Answer: B | Question # 3 Answer: B | Question # 4 Answer: A | Question # 5 Answer: C |
