RSE6 Investments – Managed Products

Course overview

PDUs 5 SFPA
Course type Online course
Duration 5 h
Price $95.00 plus taxes

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RSE6 Investments – Managed Products

Description

This course provides a comprehensive overview of managed products for retail clients, including mutual funds, ETFs, income trusts, and alternative funds. You will understand fund structures, management styles, pricing and fees, as well as valuation (NAV) and performance measurement practices. The training also covers investor suitability considerations (risk profile, diversification, ESG factors, investment objectives), comparisons between managed products and individual securities, and key calculations to support informed and compliant investment decisions.

Offered online, this course is a key step toward success on the CIRO Retail Securities Exam.

The content is currently available for online reading, allowing you to start preparing right away. An enhanced interactive format is expected to be available by the fall.

Activity recognition

FP Canada: 5 Financial Planning CE

Objectives

By the end of this course, you will be able to:

  • Identify types of managed products, including mutual funds, ETFs, Real Estate Investment Trusts (REITs), and pooled funds.
  • Analyze investor considerations, including risk, diversification, Environmental, Social, and Governance (ESG) factors, and investment objectives.
  • Understand mutual fund and ETF structures, fees, pricing, and management styles.
  • Apply valuation methods and performance metrics to assess fund returns and Net Asset Value (NAV).
  • Evaluate costs, including loads, expense ratios, turnover, and tax implications.
  • Analyze redemptions, withdrawals, and fund gating considerations.
  • Compare managed products with direct investments in individual securities for suitability and investor needs.
  • Understand alternative investment types (hedge funds, private equity, and crypto‑assets) and their risk‑return characteristics.

Key competencies

By taking this course, you will develop essential expertise in the following area of financial planning:

  1. Investment

Who should attend

This course is intended for professionals seeking to master the characteristics of managed products, understand their costs and performance, and provide suitable, compliant recommendations aligned with client profiles and objectives.

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Course program

In this training, you will explore:

  • Landscape of managed products: mutual funds, ETFs, REITs, pooled funds, alternative funds
  • Structures and management styles: open/closed‑end, index vs active, transparency and liquidity
  • Fees and pricing: loads, expense ratios, operating and administrative costs, bid‑ask spreads
  • Performance and valuation: NAV, standardized returns, performance ratios and indicators
  • Suitability considerations: risk profile, diversification, ESG, horizon and investment objectives
  • Redemptions, withdrawals, and gating: liquidity policies and flow management
  • Managed products vs individual securities: costs, control, taxation, portfolio implementation
  • Alternative products: hedge funds, private equity, crypto‑assets; risk‑return profiles and portfolio roles

Summary

This training helps you evaluate, compare, and implement managed products within portfolios tailored to client needs, and serves as an essential lever for preparing for CIRO’s Retail Securities Exam.

Register to the course


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