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CIRO CIRE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Overview of Canadian securities regulatory framework | 10% | - Role and authority of the Canadian Investment Regulatory Organization - Purpose and implications of the Bank Act and Bankruptcy and Insolvency Act - 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 - Investment Dealer registration and individual approval requirements - Criminal Code and its application to financial crime - Other applicable laws including confidentiality, privacy, anti-spam, company disclosure and shareholder rights - Function and purpose of clearing agencies - Function and purpose of the Canadian Investor Protection Fund - Function and purpose of investment industry marketplaces - Anti-money laundering and anti-terrorist financing legislation and regulations |
| Scope of client relationships | 15% | - Typical services provided by institutional Investment Dealers - Product due diligence obligations - Internal escalation procedures and subject matter experts - Account appropriateness obligations - Institutional client sophistication assessment and suitability exemptions - Trust, agency and fiduciary duty - Requirements for working with clients in the United States and other foreign jurisdictions - Investment performance benchmarks - Know-your-product obligations - Exemptions from suitability determination requirements - Systematic approaches to investment management and investment strategies - Purpose and content of relationship disclosure - Role of the Investment Representative in providing client service - Typical services provided by retail Investment Dealers - Suitability determination requirements for retail clients - Role of the Registered Representative in providing client service - Account appropriateness versus suitability determination |
| Prospective client relationships | 10% | - Retail client information collection - Client relationship model - Client record documentation, filing and maintenance - Impact of fees, turnover and taxes on investment returns - Investment Dealer onboarding process - Third parties and other professionals in the client's life - Differences between retail and institutional clients - Institutional client qualification requirements - Required account agreement and Firm Welcome package documents - Exemptions under National Instrument 45-106 - Role of cost in product selection |
| Derivatives | 5% | - Features of other derivative contract types - Single and multi-legged derivative trading strategies - Basic transactional elements of futures and options - Listed versus over-the-counter derivative markets - Administrative requirements for derivative trading with clients - Basic uses of derivatives - Prohibited derivative trading practices - Features of options contract types |
| Market integrity, trade execution and settlement | 12% | - Functions of investment banking, research and corporate finance - Features of different order types - Specialized trading agreements for derivative accounts - Gatekeeping requirements for manipulative and deceptive practices, unacceptable activities and front running - Order variations, cancellations and corrections - Order entry, trade management, settlement and delivery - Universal Market Integrity Rules - Margin requirements - Features of different account types - Reporting obligations to firms and regulators - UMIR gatekeeping obligations - Order confirmation requirements |
| Conflicts of interest and ethics | 15% | - Ethical principles and standards of conduct for Approved Persons and Investment Dealers - Requirements regarding positions of influence - Information controls, barriers, firewalls and restricted lists - Importance of managing conflicts of interest - Role of cybersecurity in protecting confidential information - Importance of ethics and its relationship to rules - Ethical and legal responsibilities to clients - Conflicts of interest management process - Activities outside an Investment Dealer - CIRO and other ethical standards of conduct - Inappropriate or prohibited personal financial dealings with clients - Client confidentiality policies and procedures |
| Client complaint handling and reporting | 5% | - Potential client issues, liability and consequences - Policies and procedures for reporting, handling and maintaining complaint records - Investment Dealer complaint reporting obligations and penalties - Recourse available to dissatisfied clients - Prohibited practices in client settlement agreements - Role of CIRO and provincial regulators in the complaints handling framework - Investment Dealer obligations to clients |
| Securities, managed products, mutual funds and other investments | 19% | - Considerations affecting exchange-traded fund investors - Considerations affecting equity investors and potential shareholders - Purpose and uses of market indices - Types, features, risks and returns of equities - Considerations affecting managed product investors - Types, features, risks and returns of fixed income securities and products - Considerations affecting mutual fund investors - Considerations affecting fixed income investors - Types of pooled products - Other investments including hedge funds, structured products, alternative investment funds, crypto assets and ESG-related products - Features, risks and returns of managed products - Asset classes generally sold and traded at an Investment Dealer |
| Market and company analysis | 8% | - Technical and statistical analysis tools and information sources - Rules relating to companies - Economic indicators and sources of information - Basic economic theories - Factors influencing the macroeconomy - Industry performance analysis - Company performance analysis tools - Basic market theories and stock market behaviour - Effects of macroeconomic factors on financial markets |
CIRO Canadian Investment Regulatory Sample Questions:
Question #1
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. Observing high standards of ethics and conduct
B. Engaging in any business conduct that is unbecoming
C. Acting in accordance with just and equitable principles
D. A reasonable departure from standards that are expected
Question #2
What is the best course of action if an Investment Representative (IR) discovers a colleague engaging in what appears to be unethical behaviour?
A. Confront the colleague privately to let them know
B. Report the activity to the appropriate firm authority
C. Ignore the behaviour to avoid potential conflict
D. Report it immediately to the regulatory authorities
Question #3
A Registered Representative (RR) determines that an investment strategy is not suitable for a retail client. The client decides that they want to invest anyway. Which of the following should the RR do?
A. Report the request as an unacceptable trade
B. Recommend an alternative action that is suitable
C. Refuse to undertake the investment strategy
D. Seek advice from a self-regulatory authority
Question #4
Which method is typically used to calculate the value of most equity indices?
A. Adding stock prices of included companies divided by total number of companies
B. Adding dividend yields of included companies divided by total number of companies
C. Using a weighted average based on the market capitalization of each company
D. Using the median stock price of the included companies for index calculation
Question #5
A client has an account with their Investment Dealer. The dealer acts as principal in a trade for them at a price that is not as good as the prevailing market price. How would this trade be considered?
A. An example of best execution, as the principal trade ensures that client has a reliable deal
B. A violation of the best execution rule, as the trade was not executed on most favorable terms
C. A violation of the margin rules, as the client did not have sufficient funds to cover the trade
D. A case of market manipulation, as the Investment Dealer intentionally influenced the market price
Solutions:
| Question #1 Correct Answer: B | Question #2 Correct Answer: B | Question #3 Correct Answer: B | Question #4 Correct Answer: C | Question #5 Correct Answer: B |
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