Retail Securities Exam Training Program

What it is The RSETP is a streamlined, exam‑first learning pathway that prepares candidates for retail advisory and sales roles at Investment Dealers under CIRO’s new assessment‑centric Proficiency Model (effective Jan 1, 2026). It aligns to CIRO’s shift away from mandatory course prerequisites toward role‑specific exams, competency profiles, and conduct training. Why it helps Raises the proficiency bar by assessing the practical knowledge, skills, and behaviours required for client‑facing roles (suitability, KYC/KYP, conflicts, market integrity, ethics). Improves accessibility by allowing self‑study, textbooks, university courses, or digital learning in place of mandated courses—reducing cost and enabling multiple prep paths. Modern, responsive framework that keeps content current, aligns with firm training, and enhances the candidate experience within the new proficiency regime. Who it’s for New entrants pursuing registration as Approved Persons in retail advisory/sales at Investment Dealers (e.g., Registered Representatives – Retail). Career returners re‑qualifying under transition/validity provisions of the new model. Firm hires (advisory, sales, supervision) needing a CIRO‑aligned retail pathway within the 11 registration categories and related exams. What candidates learn Client‑first conduct: suitability, KYC/KYP, conflicts of interest, disclosure. Market integrity: trading rules awareness and supervision expectations consistent with IDPC rules. [ciro.ca] Products & portfolio basics: retail‑relevant securities/managed products and risk. (Delivered via study resources chosen by the learner; assessed via CIRO exams.)