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CIRO RSE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Portfolio Construction and Managed Accounts | 10–14% | - Registered account types - Asset allocation and risk metrics |
| Topic 2: Equities | 18–22% | - Equity product features and risks - Trading mechanics and market structure |
| Topic 3: Trade Execution and Market Integrity | 8–12% | - Order routing and best execution - Prohibited practices and compliance |
| Topic 4: Structured Products | 10–14% | - Applicable regulatory rules - Product types and risk profiles |
| Topic 5: Client Monitoring and Relationship Management | 8–12% | - Performance reporting and CRM2 - Complaint handling procedures |
| Topic 6: Mutual Funds and ETFs | 20–24% | - Fund structures and disclosure documents - Suitability and sales obligations |
| Topic 7: KYC and Suitability | 20–24% | - Suitability determination and documentation - Client information collection and updates |
| Topic 8: Fixed Income | 18–22% | - GICs and other retail fixed-income products - Bond characteristics and pricing |
CIRO Retail Securities Sample Questions:
Which tax strategy is the most beneficial when recommending investments to maximize client returns?
- A. Using tax-loss harvesting to offset gains and reduce taxable income
- B. Investing in a diverse mix of tax-exempt bonds to eliminate tax liability
- C. Focusing on high-dividend stocks to maximize tax credits
- D. Encouraging frequent trading to capitalize on short-term market gains
Correct Answer: A 🗳️
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An investment portfolio has a gross annual return of 14%, a management fee of 2%, a risk-free rate of 3%, and a standard deviation of 8%. What is the Sharpe ratio after fees?
- A. 1.38
- B. 1.34
- C. 1.22
- D. 1.13
Correct Answer: D 🗳️
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Which of the following actions demonstrates best practice when ensuring the accuracy of client information during the know-your-client (KYC) process?
- A. Verifying client information through third-party databases
- B. Recording the date of information collection and obtaining confirmation
- C. Using predictive models to identify potential inaccuracies
- D. Requesting confirmation only when substantial portfolio changes occur
Correct Answer: B 🗳️
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What primary advantage do participating preferred shares provide over straight preferred shares in terms of potential returns?
- A. They provide voting rights in corporate decisions, allowing shareholders more influence over management
- B. They have the highest claim on assets in case of liquidation, ensuring stronger financial protection
- C. They provide additional dividends when company profits exceed a set threshold, increasing investor returns
- D. They offer more predictable dividend payments than common shares, reducing income uncertainty
Correct Answer: C 🗳️
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How does the liquidity risk of preferred shares compare to common shares and government bonds?
- A. They have equal liquidity risk as all are exchange traded
- B. They are typically less liquid, leading to wider bid-ask spreads
- C. They are highly liquid but suffer from regulatory restrictions on trading volume
- D. They are the most liquid security type, offering better price execution
Correct Answer: B 🗳️
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