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CIRO CIRE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Conflicts of interest and ethics | 15% | - Ethical and legal responsibilities to clients - Importance of ethics and its relationship to rules - Role of cybersecurity in protecting confidential information - Ethical principles and standards of conduct for Approved Persons and Investment Dealers - Activities outside an Investment Dealer - Importance of managing conflicts of interest - Client confidentiality policies and procedures - CIRO and other ethical standards of conduct - Inappropriate or prohibited personal financial dealings with clients - Conflicts of interest management process - Information controls, barriers, firewalls and restricted lists - Requirements regarding positions of influence |
| Scope of client relationships | 15% | - Requirements for working with clients in the United States and other foreign jurisdictions - Know-your-product obligations - Account appropriateness obligations - Typical services provided by retail Investment Dealers - Role of the Investment Representative in providing client service - Exemptions from suitability determination requirements - Internal escalation procedures and subject matter experts - Typical services provided by institutional Investment Dealers - Institutional client sophistication assessment and suitability exemptions - Suitability determination requirements for retail clients - Trust, agency and fiduciary duty - Investment performance benchmarks - Purpose and content of relationship disclosure - Account appropriateness versus suitability determination - Role of the Registered Representative in providing client service - Product due diligence obligations - Systematic approaches to investment management and investment strategies |
| Overview of Canadian securities regulatory framework | 10% | - Function and purpose of investment industry marketplaces - Function and purpose of clearing agencies - Function and purpose of the Canadian Investor Protection Fund - Investment Dealer registration and individual approval requirements - Role and authority of the Canadian Investment Regulatory Organization - Criminal Code and its application to financial crime - Purpose and implications of the Bank Act and Bankruptcy and Insolvency Act - Role and authority of the Canadian Securities Administrators and provincial and territorial securities and derivatives regulators - Anti-money laundering and anti-terrorist financing legislation and regulations - Other applicable laws including confidentiality, privacy, anti-spam, company disclosure and shareholder rights - Function and purpose of other investment industry regulators and agencies |
| Derivatives | 5% | - Administrative requirements for derivative trading with clients - Single and multi-legged derivative trading strategies - Basic transactional elements of futures and options - Features of other derivative contract types - Listed versus over-the-counter derivative markets - Prohibited derivative trading practices - Basic uses of derivatives - Features of options contract types |
| Market and company analysis | 8% | - Rules relating to companies - Factors influencing the macroeconomy - Technical and statistical analysis tools and information sources - Company performance analysis tools - Basic economic theories - Effects of macroeconomic factors on financial markets - Industry performance analysis - Economic indicators and sources of information - Basic market theories and stock market behaviour |
| Securities, managed products, mutual funds and other investments | 19% | - Considerations affecting equity investors and potential shareholders - Purpose and uses of market indices - Considerations affecting managed product investors - Types, features, risks and returns of equities - Considerations affecting fixed income investors - Considerations affecting exchange-traded fund investors - Types of pooled products - Features, risks and returns of managed products - Considerations affecting mutual fund investors - Asset classes generally sold and traded at an Investment Dealer - Other investments including hedge funds, structured products, alternative investment funds, crypto assets and ESG-related products - Types, features, risks and returns of fixed income securities and products |
| Market integrity, trade execution and settlement | 12% | - Functions of investment banking, research and corporate finance - Universal Market Integrity Rules - Features of different order types - Specialized trading agreements for derivative accounts - UMIR gatekeeping obligations - Order variations, cancellations and corrections - Features of different account types - Order confirmation requirements - Gatekeeping requirements for manipulative and deceptive practices, unacceptable activities and front running - Order entry, trade management, settlement and delivery - Margin requirements - Reporting obligations to firms and regulators |
| Prospective client relationships | 10% | - Retail client information collection - Third parties and other professionals in the client's life - Impact of fees, turnover and taxes on investment returns - Client record documentation, filing and maintenance - Required account agreement and Firm Welcome package documents - Client relationship model - Differences between retail and institutional clients - Institutional client qualification requirements - Exemptions under National Instrument 45-106 - Investment Dealer onboarding process - Role of cost in product selection |
| Client complaint handling and reporting | 5% | - Prohibited practices in client settlement agreements - Role of CIRO and provincial regulators in the complaints handling framework - Investment Dealer complaint reporting obligations and penalties - Investment Dealer obligations to clients - Potential client issues, liability and consequences - Policies and procedures for reporting, handling and maintaining complaint records - Recourse available to dissatisfied clients |
CIRO Canadian Investment Regulatory Sample Questions:
A leverage disclosure statement has been supplied to a retail client who has not yet acknowledged the statement. What is the requirement on a Registered Representative (RR)?
- A. Make no investment recommendations until acknowledgement is received
- B. Remind the client they have five days to respond to the statement
- C. Escalate this issue to the compliance department for investigation
- D. Continue to act for the client as the statement is supplied for information only
Correct Answer: A 🗳️
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An investment advisor is explaining hedge funds to a client who is considering different investment options. What is a key advantage of hedge funds?
- A. They have access to diverse and sophisticated investment strategies
- B. They are low-risk investments suited for conservative investors
- C. They charge lower fees than other types of investment funds
- D. They are subject to strict regulatory oversight like mutual funds
Correct Answer: A 🗳️
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What is the most likely consequence if an Investment Dealer breaches CIRO rules?
- A. Increased risk of regulatory penalties
- B. External monitor appointed to oversee
- C. Inability to onboard institutional investors
- D. Client accounts being frozen
Correct Answer: A 🗳️
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How are new Canadian government bonds typically issued to the market?
- A. By auction where Investment Dealers bid based on the yield
- B. At a set rate offered to institutions with the highest bids
- C. Through direct sales to retail investors at a posted price
- D. By private placement agreements with institutional brokers
Correct Answer: A 🗳️
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When an employee of an Investment Dealer engages in an outside business activity what must they do?
- A. Only recommend products and services offered by the Investment Dealer
- B. Ensure it is closely aligned with their duties to the Investment Dealer
- C. Be independently responsible for monitoring and compliance enforcement
- D. Obtain prior written consent of the Investment Dealer
Correct Answer: D 🗳️
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