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CIRO CIRE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Prospective client relationships | 10% | - Investment Dealer onboarding process - Exemptions under National Instrument 45-106 - Required account agreement and Firm Welcome package documents - Impact of fees, turnover and taxes on investment returns - Client relationship model - Third parties and other professionals in the client's life - Role of cost in product selection - Retail client information collection - Differences between retail and institutional clients - Institutional client qualification requirements - Client record documentation, filing and maintenance |
| Topic 2: Scope of client relationships | 15% | - Investment performance benchmarks - Trust, agency and fiduciary duty - Account appropriateness obligations - Systematic approaches to investment management and investment strategies - Typical services provided by institutional Investment Dealers - Internal escalation procedures and subject matter experts - Requirements for working with clients in the United States and other foreign jurisdictions - Typical services provided by retail Investment Dealers - Account appropriateness versus suitability determination - Exemptions from suitability determination requirements - Suitability determination requirements for retail clients - Role of the Registered Representative in providing client service - Institutional client sophistication assessment and suitability exemptions - Role of the Investment Representative in providing client service - Purpose and content of relationship disclosure - Know-your-product obligations - Product due diligence obligations |
| Topic 3: Derivatives | 5% | - Features of other derivative contract types - Prohibited derivative trading practices - Features of options contract types - Single and multi-legged derivative trading strategies - Basic uses of derivatives - Listed versus over-the-counter derivative markets - Administrative requirements for derivative trading with clients - Basic transactional elements of futures and options |
| Topic 4: Overview of Canadian securities regulatory framework | 10% | - Investment Dealer registration and individual approval requirements - Role and authority of the Canadian Investment Regulatory Organization - Function and purpose of the Canadian Investor Protection Fund - Function and purpose of investment industry marketplaces - Criminal Code and its application to financial crime - Anti-money laundering and anti-terrorist financing legislation and regulations - Purpose and implications of the Bank Act and Bankruptcy and Insolvency Act - Other applicable laws including confidentiality, privacy, anti-spam, company disclosure and shareholder rights - Function and purpose of other investment industry regulators and agencies - Role and authority of the Canadian Securities Administrators and provincial and territorial securities and derivatives regulators - Function and purpose of clearing agencies |
| Topic 5: Market and company analysis | 8% | - Company performance analysis tools - Technical and statistical analysis tools and information sources - Economic indicators and sources of information - Basic economic theories - Effects of macroeconomic factors on financial markets - Factors influencing the macroeconomy - Industry performance analysis - Basic market theories and stock market behaviour - Rules relating to companies |
| Topic 6: Client complaint handling and reporting | 5% | - Recourse available to dissatisfied clients - Policies and procedures for reporting, handling and maintaining complaint records - Investment Dealer complaint reporting obligations and penalties - Potential client issues, liability and consequences - Role of CIRO and provincial regulators in the complaints handling framework - Prohibited practices in client settlement agreements - Investment Dealer obligations to clients |
| Topic 7: Market integrity, trade execution and settlement | 12% | - Specialized trading agreements for derivative accounts - Gatekeeping requirements for manipulative and deceptive practices, unacceptable activities and front running - Order entry, trade management, settlement and delivery - Features of different order types - Features of different account types - Reporting obligations to firms and regulators - Margin requirements - Universal Market Integrity Rules - Functions of investment banking, research and corporate finance - UMIR gatekeeping obligations - Order variations, cancellations and corrections - Order confirmation requirements |
| Topic 8: Securities, managed products, mutual funds and other investments | 19% | - Features, risks and returns of managed products - Considerations affecting equity investors and potential shareholders - Purpose and uses of market indices - Types of pooled products - Considerations affecting mutual fund investors - Asset classes generally sold and traded at an Investment Dealer - Types, features, risks and returns of fixed income securities and products - Considerations affecting managed product investors - Considerations affecting fixed income investors - Types, features, risks and returns of equities - Other investments including hedge funds, structured products, alternative investment funds, crypto assets and ESG-related products - Considerations affecting exchange-traded fund investors |
| Topic 9: Conflicts of interest and ethics | 15% | - Client confidentiality policies and procedures - Ethical principles and standards of conduct for Approved Persons and Investment Dealers - Information controls, barriers, firewalls and restricted lists - Conflicts of interest management process - Inappropriate or prohibited personal financial dealings with clients - Requirements regarding positions of influence - Importance of ethics and its relationship to rules - Importance of managing conflicts of interest - Role of cybersecurity in protecting confidential information - CIRO and other ethical standards of conduct - Activities outside an Investment Dealer - Ethical and legal responsibilities to clients |
CIRO Canadian Investment Regulatory Sample Questions:
1. Retail Investment Dealers may offer a range of accounts to clients. Which of the following best reflects that range?
A) Advisory; Managed; Discretionary
B) Advisory; Discretionary; Managed, Order execution only (OEO) and Direct Electronic Access (DEA)
C) Advisory; Discretionary; Managed and Order execution only (OEO)
D) Advisory; Discretionary; Order execution only (OEO)
2. Which method is typically used to calculate the value of most equity indices?
A) Adding dividend yields of included companies divided by total number of companies
B) Using a weighted average based on the market capitalization of each company
C) Using the median stock price of the included companies for index calculation
D) Adding stock prices of included companies divided by total number of companies
3. A company's financial analyst is reviewing the company's financial status as of the end of the fiscal year. Which financial statement will provide the necessary details about the company's assets and liabilities at that specific point in time?
A) Income Statement
B) Statement of Financial Position
C) Statement of Comprehensive Income
D) Statement of Cash Flows
4. An Investment Representative (IR) at an Investment Dealer notices that a long-standing client, who typically trades conservative blue-chip stocks in moderate amounts, has suddenly started making frequent large trades in high-volatility penny stocks. What is the IR's best course of action under gatekeeping regulatory requirements?
A) Recognize the client has changed their trading strategy and take no further action
B) Monitor the transactions and wait for a regulatory authority to raise concerns
C) Freeze the client's account immediately and report the activity as fraudulent
D) Detail the client's activity and report it to a Supervisor or compliance
5. Which of the following is the primary role of a central bank in managing the macroeconomy?
A) To regulate and monitor the stock market
B) To manage the country's money supply
C) To directly set wages and prices in the economy
D) To control the nation's fiscal policy
Solutions:
| Question # 1 Answer: C | Question # 2 Answer: B | Question # 3 Answer: B | Question # 4 Answer: D | Question # 5 Answer: B |
