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CIRO CIRE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Market integrity, trade execution and settlement | 12% | - Features of different order types - Specialized trading agreements for derivative accounts - Order variations, cancellations and corrections - UMIR gatekeeping obligations - Order confirmation requirements - Universal Market Integrity Rules - Features of different account types - Order entry, trade management, settlement and delivery - Margin requirements - Functions of investment banking, research and corporate finance - Reporting obligations to firms and regulators - Gatekeeping requirements for manipulative and deceptive practices, unacceptable activities and front running |
| Topic 2: Client complaint handling and reporting | 5% | - Policies and procedures for reporting, handling and maintaining complaint records - Investment Dealer obligations to clients - Investment Dealer complaint reporting obligations and penalties - Role of CIRO and provincial regulators in the complaints handling framework - Recourse available to dissatisfied clients - Prohibited practices in client settlement agreements - Potential client issues, liability and consequences |
| Topic 3: Overview of Canadian securities regulatory framework | 10% | - Function and purpose of investment industry marketplaces - Role and authority of the Canadian Securities Administrators and provincial and territorial securities and derivatives regulators - Function and purpose of the Canadian Investor Protection Fund - Purpose and implications of the Bank Act and Bankruptcy and Insolvency Act - Role and authority of the Canadian Investment Regulatory Organization - Function and purpose of clearing agencies - Investment Dealer registration and individual approval requirements - Anti-money laundering and anti-terrorist financing legislation and regulations - Function and purpose of other investment industry regulators and agencies - Other applicable laws including confidentiality, privacy, anti-spam, company disclosure and shareholder rights - Criminal Code and its application to financial crime |
| Topic 4: Derivatives | 5% | - Basic uses of derivatives - Administrative requirements for derivative trading with clients - Features of options contract types - Single and multi-legged derivative trading strategies - Prohibited derivative trading practices - Listed versus over-the-counter derivative markets - Features of other derivative contract types - Basic transactional elements of futures and options |
| Topic 5: Scope of client relationships | 15% | - Typical services provided by institutional Investment Dealers - Account appropriateness versus suitability determination - Institutional client sophistication assessment and suitability exemptions - Know-your-product obligations - Account appropriateness obligations - Role of the Registered Representative in providing client service - Typical services provided by retail Investment Dealers - Internal escalation procedures and subject matter experts - Systematic approaches to investment management and investment strategies - Trust, agency and fiduciary duty - Purpose and content of relationship disclosure - Investment performance benchmarks - Product due diligence obligations - Role of the Investment Representative in providing client service - Requirements for working with clients in the United States and other foreign jurisdictions - Suitability determination requirements for retail clients - Exemptions from suitability determination requirements |
| Topic 6: Prospective client relationships | 10% | - Differences between retail and institutional clients - Exemptions under National Instrument 45-106 - Retail client information collection - Third parties and other professionals in the client's life - Client relationship model - Institutional client qualification requirements - Investment Dealer onboarding process - Required account agreement and Firm Welcome package documents - Role of cost in product selection - Impact of fees, turnover and taxes on investment returns - Client record documentation, filing and maintenance |
| Topic 7: Conflicts of interest and ethics | 15% | - CIRO and other ethical standards of conduct - Inappropriate or prohibited personal financial dealings with clients - Client confidentiality policies and procedures - Activities outside an Investment Dealer - Requirements regarding positions of influence - Importance of ethics and its relationship to rules - Information controls, barriers, firewalls and restricted lists - Importance of managing conflicts of interest - Ethical and legal responsibilities to clients - Ethical principles and standards of conduct for Approved Persons and Investment Dealers - Role of cybersecurity in protecting confidential information - Conflicts of interest management process |
| Topic 8: Securities, managed products, mutual funds and other investments | 19% | - Considerations affecting mutual fund investors - Types, features, risks and returns of equities - Types, features, risks and returns of fixed income securities and products - Other investments including hedge funds, structured products, alternative investment funds, crypto assets and ESG-related products - Types of pooled products - Considerations affecting exchange-traded fund investors - Features, risks and returns of managed products - Asset classes generally sold and traded at an Investment Dealer - Considerations affecting equity investors and potential shareholders - Considerations affecting fixed income investors - Purpose and uses of market indices - Considerations affecting managed product investors |
| Topic 9: Market and company analysis | 8% | - Rules relating to companies - Effects of macroeconomic factors on financial markets - Economic indicators and sources of information - Industry performance analysis - Technical and statistical analysis tools and information sources - Basic economic theories - Company performance analysis tools - Factors influencing the macroeconomy - Basic market theories and stock market behaviour |
CIRO Canadian Investment Regulatory Sample Questions:
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 are subject to strict regulatory oversight like mutual funds
- B. They charge lower fees than other types of investment funds
- C. They have access to diverse and sophisticated investment strategies
- D. They are low-risk investments suited for conservative investors
Correct Answer: C 🗳️
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How do iceberg orders help reduce market impact and promote liquidity?
- A. It displays a small portion while hiding the rest
- B. It executes within private dark pool trading venues
- C. It hides the order from the trading market participants
- D. It displays full size of the order to improve execution
Correct Answer: A 🗳️
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An investment advisor is discussing the risks of investing in crypto assets with a client. Which of the following is a typical feature of crypto assets?
- A. The heavy regulatory burden leads to high associated costs
- B. They are prone to sudden increases in supply diluting the price
- C. They are intangible so have no opportunity for long term gain
- D. Their value can be highly volatile, subject to market speculation
Correct Answer: D 🗳️
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Which of the following implications arises from the application of the Criminal Code to financial crimes?
- A. Financial institutions are required to implement mandatory risk assessments for client portfolios
- B. Securities markets must be supervised by a federal agency to avoid fraudulent activities
- C. Canadian Investor Protection Fund (CIPF) must reimburse all clients affected by fraudulent activities committed by Investment Dealers
- D. Investment Dealers must develop anti-fraud policies to prevent criminal activities
Correct Answer: D 🗳️
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When must an Investment Dealer consult with a client's trusted contact person?
- A. To share the client's account performance details with an objective person
- B. If there are concerns about the client's financial exploitation or mental capacity
- C. The Investment Dealer disagrees with a client's investment decision
- D. If the client fails to provide the required know-your-client (KYC) information
Correct Answer: B 🗳️
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