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CIRO RSE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| KYC and Suitability | 20–24% | - Client information collection and updates - Suitability determination and documentation |
| Client Monitoring and Relationship Management | 8–12% | - Complaint handling procedures - Performance reporting and CRM2 |
| Mutual Funds and ETFs | 20–24% | - Fund structures and disclosure documents - Suitability and sales obligations |
| Structured Products | 10–14% | - Applicable regulatory rules - Product types and risk profiles |
| Portfolio Construction and Managed Accounts | 10–14% | - Registered account types - Asset allocation and risk metrics |
| Trade Execution and Market Integrity | 8–12% | - Order routing and best execution - Prohibited practices and compliance |
| Equities | 18–22% | - Trading mechanics and market structure - Equity product features and risks |
| Fixed Income | 18–22% | - GICs and other retail fixed-income products - Bond characteristics and pricing |
CIRO Retail Securities Sample Questions:
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. 1.34
- B. 1.13
- C. 1.22
- D. 1.38
Correct Answer: B 🗳️
Explanation: Only visible for Test4Engine members. You can sign-up / login (it's free).
Which of the following is a key factor in valuing a manufacturing company's stock?
- A. Interest rates
- B. Production efficiency
- C. Inflation
- D. Consumer sentiment
Correct Answer: B 🗳️
Explanation: Only visible for Test4Engine members. You can sign-up / login (it's free).
What is the primary responsibility of an Investment Dealer when considering whether to allow a client to trade on margin?
- A. To limit the client's trading activity to avoid unnecessary risk associated with trading on margin
- B. To provide margin loans at the Investment Dealer's lowest interest rates to capitalize on the leverage
- C. To ensure that the client is aware of the risks and benefits associated with trading on margin
- D. To certify that the client has sufficient funds to cover any potential losses from trading on margin
Correct Answer: C 🗳️
Explanation: Only visible for Test4Engine members. You can sign-up / login (it's free).
A client inherited shares from a parent and refuses to sell them even though the holding creates excessive concentration and no longer fits the client's objectives. The client states that the shares are more valuable because they are now "part of the family." Which behavioural bias is most directly demonstrated?
- A. Representativeness bias
- B. Hindsight bias
- C. Endowment effect
- D. Gambler's fallacy
Correct Answer: C 🗳️
Explanation: Only visible for Test4Engine members. You can sign-up / login (it's free).
A corporate bond has a coupon rate of 6% and a face value of $10,000. If interest rates in the market rise to
8%, how should an investor adjust their expectations for the bond's annual income compared to selling it today?
- A. Expect $800 annually and a sale price below $10,000
- B. Expect $600 annually and a sale price below $10,000
- C. Expect $800 annually and a sale price at $10,000
- D. Expect $600 annually and a sale price above $10,000
Correct Answer: B 🗳️
Explanation: Only visible for Test4Engine members. You can sign-up / login (it's free).
