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CIRO CIRE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Market integrity, trade execution and settlement | 12% | - Gatekeeping requirements for manipulative and deceptive practices, unacceptable activities and front running - Reporting obligations to firms and regulators - Specialized trading agreements for derivative accounts - Functions of investment banking, research and corporate finance - Order confirmation requirements - Features of different order types - Universal Market Integrity Rules - Order variations, cancellations and corrections - Margin requirements - Features of different account types - Order entry, trade management, settlement and delivery - UMIR gatekeeping obligations |
| Topic 2: Securities, managed products, mutual funds and other investments | 19% | - Types, features, risks and returns of equities - Considerations affecting exchange-traded fund investors - Considerations affecting mutual fund investors - Types, features, risks and returns of fixed income securities and products - Considerations affecting managed product investors - Considerations affecting equity investors and potential shareholders - Types of pooled products - Considerations affecting fixed income investors - Features, risks and returns of managed products - Asset classes generally sold and traded at an Investment Dealer - Other investments including hedge funds, structured products, alternative investment funds, crypto assets and ESG-related products - Purpose and uses of market indices |
| Topic 3: Conflicts of interest and ethics | 15% | - Information controls, barriers, firewalls and restricted lists - Requirements regarding positions of influence - Ethical principles and standards of conduct for Approved Persons and Investment Dealers - CIRO and other ethical standards of conduct - Client confidentiality policies and procedures - Conflicts of interest management process - Importance of managing conflicts of interest - Activities outside an Investment Dealer - Ethical and legal responsibilities to clients - Inappropriate or prohibited personal financial dealings with clients - Importance of ethics and its relationship to rules - Role of cybersecurity in protecting confidential information |
| Topic 4: Prospective client relationships | 10% | - Investment Dealer onboarding process - Client record documentation, filing and maintenance - Role of cost in product selection - Exemptions under National Instrument 45-106 - Client relationship model - Institutional client qualification requirements - Retail client information collection - Impact of fees, turnover and taxes on investment returns - Required account agreement and Firm Welcome package documents - Third parties and other professionals in the client's life - Differences between retail and institutional clients |
| Topic 5: Client complaint handling and reporting | 5% | - Policies and procedures for reporting, handling and maintaining complaint records - Prohibited practices in client settlement agreements - Potential client issues, liability and consequences - Investment Dealer complaint reporting obligations and penalties - Recourse available to dissatisfied clients - Role of CIRO and provincial regulators in the complaints handling framework - Investment Dealer obligations to clients |
| Topic 6: Overview of Canadian securities regulatory framework | 10% | - Investment Dealer registration and individual approval requirements - Criminal Code and its application to financial crime - Anti-money laundering and anti-terrorist financing legislation and regulations - Purpose and implications of the Bank Act and Bankruptcy and Insolvency Act - Function and purpose of investment industry marketplaces - Other applicable laws including confidentiality, privacy, anti-spam, company disclosure and shareholder rights - Function and purpose of the Canadian Investor Protection Fund - Role and authority of the Canadian Investment Regulatory Organization - Function and purpose of other investment industry regulators and agencies - Function and purpose of clearing agencies - Role and authority of the Canadian Securities Administrators and provincial and territorial securities and derivatives regulators |
| Topic 7: Derivatives | 5% | - Single and multi-legged derivative trading strategies - Basic uses of derivatives - Features of options contract types - Prohibited derivative trading practices - Administrative requirements for derivative trading with clients - Basic transactional elements of futures and options - Features of other derivative contract types - Listed versus over-the-counter derivative markets |
| Topic 8: Scope of client relationships | 15% | - Know-your-product obligations - Institutional client sophistication assessment and suitability exemptions - Typical services provided by institutional Investment Dealers - Suitability determination requirements for retail clients - Internal escalation procedures and subject matter experts - Investment performance benchmarks - Typical services provided by retail Investment Dealers - Requirements for working with clients in the United States and other foreign jurisdictions - Product due diligence obligations - Account appropriateness obligations - Exemptions from suitability determination requirements - Account appropriateness versus suitability determination - Role of the Registered Representative in providing client service - Systematic approaches to investment management and investment strategies - Purpose and content of relationship disclosure - Role of the Investment Representative in providing client service - Trust, agency and fiduciary duty |
| Topic 9: Market and company analysis | 8% | - Effects of macroeconomic factors on financial markets - Industry performance analysis - Rules relating to companies - Factors influencing the macroeconomy - Basic economic theories - Basic market theories and stock market behaviour - Economic indicators and sources of information - Technical and statistical analysis tools and information sources - Company performance analysis tools |
CIRO Canadian Investment Regulatory Sample Questions:
Question 1
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. A violation of the best execution rule, as the trade was not executed on most favorable terms
B. An example of best execution, as the principal trade ensures that client has a reliable deal
C. A case of market manipulation, as the Investment Dealer intentionally influenced the market price
D. A violation of the margin rules, as the client did not have sufficient funds to cover the trade
Question 2
What is the maximum sum that can be awarded under the CIRO's arbitration program?
A. $750,000
B. $500,000
C. $350,000
D. $650,000
Question 3
What is the purpose of an Investment Dealer obtaining the contact information of a trusted contact person?
A. To serve as a legal representative for the client
B. To address potential concerns regarding financial exploitation of the client
C. To bypass the client's decision-making authority in financial matters
D. To obtain investment advice from the trusted contact person
Question 4
An Investment Dealer rewards Registered Representatives (RRs) when they meet monthly goals for asset accumulation. An RR is close to achieving a key threshold and offers to rebate management fees for 3 months if a new client signs on. The RR has not notified the Investment Dealer of this arrangement. Has the RR done anything wrong?
A. No, because management fee rebates are a standard practice in the industry
B. No, because the rebate benefits the client and helps the RR meet their Investment Dealer's goals
C. Yes, because the RR made a financial arrangement without Investment Dealer approval
D. Yes, because the RR should offer rebates to all clients, not just new ones, to ensure fairness
Question 5
Which of the following scenarios best illustrates the use of derivatives for risk management through hedging?
A. A trader enters into a speculative futures contract to capitalize on anticipated price movements in crude oil
B. A company purchases a forward contract to lock in a fixed exchange rate for a future international transaction
C. An investor buys call options on a stock, anticipating its price will rise in the near future
D. A hedge fund uses leverage in derivatives to amplify potential returns in its portfolio
Solutions:
| Question 1 Answer: A | Question 2 Answer: B | Question 3 Answer: B | Question 4 Answer: C | Question 5 Answer: B |
