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CIRO CIRE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Overview of Canadian securities regulatory framework | 10% | - Criminal Code and financial crime - Other investment industry regulators and agencies - Marketplaces and trading venues - Anti-money laundering requirements - Investment Dealer registration and individual approval requirements - Canadian Investor Protection Fund - Bank Act and Bankruptcy and Insolvency Act - Clearing agencies - Confidentiality, privacy, anti-spam and shareholder rights legislation - Role and authority of the Canadian Investment Regulatory Organization - Role and authority of the Canadian Securities Administrators and provincial/territorial securities and derivatives regulators |
| Prospective client relationships | 10% | - Client relationship model - Retail and institutional clients - Costs, fees, turnover and taxes - Third parties and professional advisers - Retail client information and risk profile - Accredited investors and exemptions - Institutional client qualification - Client recordkeeping - Account agreements and welcome documentation - Investment Dealer onboarding process |
| Derivatives | 5% | - Derivative account administration - Prohibited derivative trading practices - Futures, forwards, swaps and contracts for difference - Derivative trading strategies - Uses of derivatives - Listed and over-the-counter derivatives markets - Options - Transactional elements of futures and options |
| Scope of client relationships | 15% | - Institutional client sophistication and suitability exemptions - Product due diligence - Relationship disclosure - Know-your-product requirements - Retail Investment Dealer services - Investment management styles and strategies - Suitability exemptions - Trust, agency and fiduciary duty - Clients residing in the United States and other foreign jurisdictions - Client suitability determination - Investment performance benchmarks - Account appropriateness versus suitability - Escalation to subject matter experts - Registered Representative role and client service - Institutional Investment Dealer services - Account appropriateness - Investment Representative role and client service |
| Securities, managed products, mutual funds and other investments | 19% | - Market indices - Managed products - Equity investment considerations - Pooled products - Fixed income investment considerations - Other investments - Equities - Mutual funds - Asset classes - Fixed income securities and products - Exchange-traded funds - Managed product investment considerations |
| Market integrity, trade execution and settlement | 12% | - Gatekeeping for manipulative and deceptive practices - Derivative trading agreements - Order variations, cancellations and corrections - Order entry, trade processing, settlement and delivery - UMIR gatekeeping obligations - Order types - Investment banking, research and corporate finance - Account types - Reporting obligations - Universal Market Integrity Rules - Margin requirements - Order confirmation requirements |
| Market and company analysis | 8% | - Economic information and indicators - Macroeconomic effects on financial markets - Technical and statistical analysis tools - Industry performance analysis - Macroeconomic factors and policies - Market theories and stock market behaviour - Basic economic theories - Company performance analysis - Company regulation, disclosure and investor rights |
| Client complaint handling and reporting | 5% | - Complaint policies, procedures and recordkeeping - Client issues and potential liability - Investment Dealer obligations to clients - Settlement agreements with clients - Client recourse options - CIRO and provincial regulator roles in complaint handling - Investment Dealer complaint reporting obligations |
| Conflicts of interest and ethics | 15% | - Cybersecurity and confidential information - Client confidentiality - Positions of influence - Managing conflicts of interest - CIRO and other ethical standards - Ethics and regulatory rules - Outside activities of Approved Persons - Conflict identification, avoidance, addressing and disclosure - Ethical principles and standards of conduct - Ethical and legal responsibilities to clients - Personal financial dealings with clients - Information barriers and restricted lists |
CIRO Canadian Investment Regulatory Sample Questions:
Question 1
The Ombudsman for Banking Services and Investments (OBSI) has recommended that a firm compensate a client. If the firm refuses to comply, what action can OBSI take?
A. Enforce the recommendation via the Canadian courts
B. Make a public statement about the Investment Dealer
C. Do nothing as the recommendation is not binding
D. Revoke the Investment Dealer's registration
Question 2
When must costs associated with an investment product be disclosed to a client?
A. During the initial onboarding process and when recommending products
B. In the transaction confirmation after the product has been purchased
C. Only when the client requests specific information about costs
D. Disclosure of costs is optional if the product exceeds its benchmark
Question 3
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 charge lower fees than other types of investment funds
C. They are low-risk investments suited for conservative investors
D. They are subject to strict regulatory oversight like mutual funds
Question 4
An Investment Dealer is required to comply with which of the following when dealing with clients?
A. Regulation, guidance and codes
B. Legislation, regulation and guidance
C. Legislation, contract laws and codes
D. Legislation, contract laws and regulations
Question 5
A product manufacturer uses a disincentive approach and claws back a portion of commissions paid to a Registered Representative (RR) if a client sells their position in a structured product before the two- year anniversary. What is the RR's ethical responsibility during the client's annual suitability review in relation to this structured product?
A. Ensure any recommendation to hold or sell is based on the just and equitable principles of the trade
B. Advise the client to hold the product until the two-year anniversary, as this would be in the best interest of the client
C. Emphasize the claw-back policy, as not to do so would diminish the investor's confidence in the integrity of the market
D. Encourage the client to sell the product within two years to demonstrate their independence from the firm's policies
Solutions:
| Question 1 Answer: B | Question 2 Answer: A | Question 3 Answer: A | Question 4 Answer: D | Question 5 Answer: A |
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