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CIRO CIRE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Securities, managed products, mutual funds and other investments | 19% | - Considerations affecting fixed income investors - Asset classes generally sold and traded at an Investment Dealer - Types of pooled products - Purpose and uses of market indices - Other investments including hedge funds, structured products, alternative investment funds, crypto assets and ESG-related products - Considerations affecting exchange-traded fund investors - Features, risks and returns of managed products - Types, features, risks and returns of fixed income securities and products - Types, features, risks and returns of equities - Considerations affecting equity investors and potential shareholders - Considerations affecting mutual fund investors - Considerations affecting managed product investors |
| Client complaint handling and reporting | 5% | - Investment Dealer complaint reporting obligations and penalties - Role of CIRO and provincial regulators in the complaints handling framework - Recourse available to dissatisfied clients - Potential client issues, liability and consequences - Policies and procedures for reporting, handling and maintaining complaint records - Prohibited practices in client settlement agreements - Investment Dealer obligations to clients |
| Derivatives | 5% | - Basic uses of derivatives - Prohibited derivative trading practices - Basic transactional elements of futures and options - Single and multi-legged derivative trading strategies - Administrative requirements for derivative trading with clients - Listed versus over-the-counter derivative markets - Features of options contract types - Features of other derivative contract types |
| Scope of client relationships | 15% | - Product due diligence obligations - Requirements for working with clients in the United States and other foreign jurisdictions - Exemptions from suitability determination requirements - Suitability determination requirements for retail clients - Purpose and content of relationship disclosure - Role of the Registered Representative in providing client service - Systematic approaches to investment management and investment strategies - Role of the Investment Representative in providing client service - Typical services provided by institutional Investment Dealers - Investment performance benchmarks - Institutional client sophistication assessment and suitability exemptions - Account appropriateness obligations - Trust, agency and fiduciary duty - Know-your-product obligations - Account appropriateness versus suitability determination - Typical services provided by retail Investment Dealers - Internal escalation procedures and subject matter experts |
| Conflicts of interest and ethics | 15% | - Activities outside an Investment Dealer - Ethical principles and standards of conduct for Approved Persons and Investment Dealers - Importance of managing conflicts of interest - Conflicts of interest management process - Client confidentiality policies and procedures - Requirements regarding positions of influence - CIRO and other ethical standards of conduct - Role of cybersecurity in protecting confidential information - Inappropriate or prohibited personal financial dealings with clients - Information controls, barriers, firewalls and restricted lists - Ethical and legal responsibilities to clients - Importance of ethics and its relationship to rules |
| Market integrity, trade execution and settlement | 12% | - Margin requirements - Order entry, trade management, settlement and delivery - UMIR gatekeeping obligations - Reporting obligations to firms and regulators - Specialized trading agreements for derivative accounts - Order confirmation requirements - Order variations, cancellations and corrections - Functions of investment banking, research and corporate finance - Features of different order types - Features of different account types - Gatekeeping requirements for manipulative and deceptive practices, unacceptable activities and front running - Universal Market Integrity Rules |
| Overview of Canadian securities regulatory framework | 10% | - Other applicable laws including confidentiality, privacy, anti-spam, company disclosure and shareholder rights - Function and purpose of investment industry marketplaces - Anti-money laundering and anti-terrorist financing legislation and regulations - 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 - Criminal Code and its application to financial crime - Function and purpose of clearing agencies - Role and authority of the Canadian Investment Regulatory Organization - Function and purpose of other investment industry regulators and agencies - Function and purpose of the Canadian Investor Protection Fund - Investment Dealer registration and individual approval requirements |
| Prospective client relationships | 10% | - Role of cost in product selection - Client relationship model - Third parties and other professionals in the client's life - Differences between retail and institutional clients - Investment Dealer onboarding process - Exemptions under National Instrument 45-106 - Retail client information collection - Required account agreement and Firm Welcome package documents - Client record documentation, filing and maintenance - Institutional client qualification requirements - Impact of fees, turnover and taxes on investment returns |
| Market and company analysis | 8% | - Basic economic theories - Industry performance analysis - Technical and statistical analysis tools and information sources - Company performance analysis tools - Basic market theories and stock market behaviour - Rules relating to companies - Economic indicators and sources of information - Factors influencing the macroeconomy - Effects of macroeconomic factors on financial markets |
CIRO Canadian Investment Regulatory Sample Questions:
What must an Investment Dealer include in a remediation plan when addressing a capital deficiency?
- A. A request to waive the capital requirement for a defined period
- B. A list of high-risk investments used to improve capital reserves
- C. A summary of penalties imposed on employees responsible for the shortfall
- D. A detailed timeline for restoring compliance and actions taken to mitigate risks
Correct Answer: D 🗳️
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What is a futures contract?
- A. A contract granting the buyer the right but not obligation to buy an asset at a specified future price
- B. A financial contract that allows the buyer to borrow funds to purchase an investment asset
- C. A contract that obligates the buyer to buy an asset at a specified price on a specified future date
- D. A financial contract that allows the buyer to buy an asset at any time before the expiration date
Correct Answer: C 🗳️
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Which of the following is a key requirement of the client relationship model under the Investment Dealer and Partially Consolidated rules?
- A. Highlighting the client feedback on past client relationships
- B. Offering always available client service for administrative queries
- C. Providing disclosure of all material conflicts of interest to clients
- D. Prioritizing client decisions above the representative's advice
Correct Answer: C 🗳️
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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. Monitor the transactions and wait for a regulatory authority to raise concerns
- B. Detail the client's activity and report it to a Supervisor or compliance
- C. Freeze the client's account immediately and report the activity as fraudulent
- D. Recognize the client has changed their trading strategy and take no further action
Correct Answer: B 🗳️
When an employee of an Investment Dealer engages in an outside business activity what must they do?
- A. Ensure it is closely aligned with their duties to the Investment Dealer
- B. Obtain prior written consent of the Investment Dealer
- C. Only recommend products and services offered by the Investment Dealer
- D. Be independently responsible for monitoring and compliance enforcement
Correct Answer: B 🗳️
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