Investment Licensing Exam Review: CIRE and RSE

Course content

1. 1How investment licensing works in CanadaComing
2. 2Equity securities reviewComing
3. 3Debt securities reviewComing
4. 4Investment funds and managed productsComing
5. 5Derivatives reviewComing
6. 6Accounts, orders and tradingComing
7. 7Client discovery, suitability and know your productComing
8. 8Taxation of investmentsComing
9. 9Regulatory and conduct rulesComing
10. 10Prohibited practicesComing
11. 11Exam strategy and timed practiceComing
12. 12Full practice exam and reviewComing

Requirements

• FIN-330 Portfolio Management
• FIN-420 Banking, Financial Regulation and Compliance in Canada

Recommended background. You can start any course at any time.

Description

A review of the knowledge tested on CIRO's Canadian Investment Regulatory Exam and Retail Securities Exam, with practice questions.

Part of the Business stream, typically taken in year 4.