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CIRO CIRE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Overview of Canadian securities regulatory framework | 10% | - Marketplaces and trading venues - Investment Dealer registration and individual approval requirements - Confidentiality, privacy, anti-spam and shareholder rights legislation - Criminal Code and financial crime - Role and authority of the Canadian Securities Administrators and provincial/territorial securities and derivatives regulators - Anti-money laundering requirements - Role and authority of the Canadian Investment Regulatory Organization - Other investment industry regulators and agencies - Canadian Investor Protection Fund - Bank Act and Bankruptcy and Insolvency Act - Clearing agencies |
| Topic 2: Client complaint handling and reporting | 5% | - CIRO and provincial regulator roles in complaint handling - Complaint policies, procedures and recordkeeping - Investment Dealer obligations to clients - Client issues and potential liability - Client recourse options - Settlement agreements with clients - Investment Dealer complaint reporting obligations |
| Topic 3: Prospective client relationships | 10% | - Retail client information and risk profile - Costs, fees, turnover and taxes - Account agreements and welcome documentation - Third parties and professional advisers - Investment Dealer onboarding process - Accredited investors and exemptions - Institutional client qualification - Client recordkeeping - Retail and institutional clients - Client relationship model |
| Topic 4: Securities, managed products, mutual funds and other investments | 19% | - Mutual funds - Equities - Pooled products - Exchange-traded funds - Fixed income investment considerations - Managed product investment considerations - Market indices - Managed products - Equity investment considerations - Other investments - Asset classes - Fixed income securities and products |
| Topic 5: Scope of client relationships | 15% | - Investment management styles and strategies - Institutional Investment Dealer services - Suitability exemptions - Registered Representative role and client service - Institutional client sophistication and suitability exemptions - Retail Investment Dealer services - Relationship disclosure - Client suitability determination - Investment Representative role and client service - Account appropriateness versus suitability - Know-your-product requirements - Clients residing in the United States and other foreign jurisdictions - Product due diligence - Account appropriateness - Escalation to subject matter experts - Trust, agency and fiduciary duty - Investment performance benchmarks |
| Topic 6: Market integrity, trade execution and settlement | 12% | - Investment banking, research and corporate finance - Margin requirements - Order variations, cancellations and corrections - Order types - Order confirmation requirements - Gatekeeping for manipulative and deceptive practices - Universal Market Integrity Rules - Order entry, trade processing, settlement and delivery - Reporting obligations - Derivative trading agreements - Account types - UMIR gatekeeping obligations |
| Topic 7: Derivatives | 5% | - Derivative trading strategies - Futures, forwards, swaps and contracts for difference - Derivative account administration - Transactional elements of futures and options - Options - Prohibited derivative trading practices - Uses of derivatives - Listed and over-the-counter derivatives markets |
| Topic 8: Conflicts of interest and ethics | 15% | - CIRO and other ethical standards - Outside activities of Approved Persons - Managing conflicts of interest - Personal financial dealings with clients - Ethics and regulatory rules - Positions of influence - Cybersecurity and confidential information - Client confidentiality - Ethical principles and standards of conduct - Conflict identification, avoidance, addressing and disclosure - Information barriers and restricted lists - Ethical and legal responsibilities to clients |
| Topic 9: Market and company analysis | 8% | - Basic economic theories - Macroeconomic factors and policies - Company performance analysis - Industry performance analysis - Technical and statistical analysis tools - Market theories and stock market behaviour - Macroeconomic effects on financial markets - Economic information and indicators - Company regulation, disclosure and investor rights |
CIRO Canadian Investment Regulatory Sample Questions:
1. In relation to suitability which of the following is true?
A) There may be multiple recommendations that prioritize both client and dealer interests
B) There may be multiple suitable recommendations that put the client's interest first
C) There can only be one suitable recommendation balancing client and dealer interests
D) There can only be one suitable recommendation that puts the client's interest first
2. Which of the following outlines how securities firms must handle client assets when facing financial failure?
A) Bank Act, Part V
B) Canadian Investor Protection Fund (CIPF) Guidelines
C) Bankruptcy and Insolvency Act, Part XII
D) Universal Market Integrity Rules (UMIR)
3. A compliance officer at an Investment Dealer notices a significant increase in trades of low-liquidity stocks. What is the most likely compliance issue?
A) Failure to file taxes on the proceeds from the trades
B) Potential market manipulation or insider trading
C) Inaccurate records of the trades executed
D) Insufficient diversification in the client's portfolio
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) Detail the client's activity and report it to a Supervisor or compliance
B) Recognize the client has changed their trading strategy and take no further action
C) Freeze the client's account immediately and report the activity as fraudulent
D) Monitor the transactions and wait for a regulatory authority to raise concerns
5. It is a requirement to adhere to the CIRO standards of conduct. Which of the following may be conduct that contravenes one or more of these standards?
A) Engaging in any business conduct that is unbecoming
B) A reasonable departure from standards that are expected
C) Acting in accordance with just and equitable principles
D) Observing high standards of ethics and conduct
Solutions:
| Question # 1 Answer: B | Question # 2 Answer: C | Question # 3 Answer: B | Question # 4 Answer: A | Question # 5 Answer: A |
