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CIRO CIRE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Securities, managed products, mutual funds and other investments | 19% | - Market indices - Mutual funds - Fixed income investment considerations - Exchange-traded funds - Fixed income securities and products - Asset classes - Managed products - Pooled products - Equity investment considerations - Other investments - Equities - Managed product investment considerations |
| Topic 2: Conflicts of interest and ethics | 15% | - Ethical and legal responsibilities to clients - Conflict identification, avoidance, addressing and disclosure - Personal financial dealings with clients - Ethics and regulatory rules - Client confidentiality - Positions of influence - Managing conflicts of interest - Cybersecurity and confidential information - Information barriers and restricted lists - CIRO and other ethical standards - Outside activities of Approved Persons - Ethical principles and standards of conduct |
| Topic 3: Market integrity, trade execution and settlement | 12% | - Order variations, cancellations and corrections - UMIR gatekeeping obligations - Derivative trading agreements - Reporting obligations - Order confirmation requirements - Order entry, trade processing, settlement and delivery - Order types - Gatekeeping for manipulative and deceptive practices - Investment banking, research and corporate finance - Universal Market Integrity Rules - Account types - Margin requirements |
| Topic 4: Overview of Canadian securities regulatory framework | 10% | - Canadian Investor Protection Fund - Criminal Code and financial crime - Bank Act and Bankruptcy and Insolvency Act - Other investment industry regulators and agencies - Role and authority of the Canadian Investment Regulatory Organization - Anti-money laundering requirements - Confidentiality, privacy, anti-spam and shareholder rights legislation - Role and authority of the Canadian Securities Administrators and provincial/territorial securities and derivatives regulators - Marketplaces and trading venues - Clearing agencies - Investment Dealer registration and individual approval requirements |
| Topic 5: Prospective client relationships | 10% | - Investment Dealer onboarding process - Client recordkeeping - Institutional client qualification - Third parties and professional advisers - Account agreements and welcome documentation - Costs, fees, turnover and taxes - Retail client information and risk profile - Client relationship model - Retail and institutional clients - Accredited investors and exemptions |
| Topic 6: Derivatives | 5% | - Options - Futures, forwards, swaps and contracts for difference - Transactional elements of futures and options - Uses of derivatives - Derivative trading strategies - Listed and over-the-counter derivatives markets - Prohibited derivative trading practices - Derivative account administration |
| Topic 7: Scope of client relationships | 15% | - Trust, agency and fiduciary duty - Institutional Investment Dealer services - Know-your-product requirements - Account appropriateness versus suitability - Institutional client sophistication and suitability exemptions - Investment Representative role and client service - Suitability exemptions - Retail Investment Dealer services - Clients residing in the United States and other foreign jurisdictions - Client suitability determination - Investment management styles and strategies - Escalation to subject matter experts - Investment performance benchmarks - Registered Representative role and client service - Product due diligence - Relationship disclosure - Account appropriateness |
| Topic 8: Market and company analysis | 8% | - Basic economic theories - Market theories and stock market behaviour - Macroeconomic effects on financial markets - Economic information and indicators - Company regulation, disclosure and investor rights - Macroeconomic factors and policies - Technical and statistical analysis tools - Company performance analysis - Industry performance analysis |
| Topic 9: Client complaint handling and reporting | 5% | - Investment Dealer complaint reporting obligations - CIRO and provincial regulator roles in complaint handling - Client issues and potential liability - Complaint policies, procedures and recordkeeping - Investment Dealer obligations to clients - Client recourse options - Settlement agreements with clients |
CIRO Canadian Investment Regulatory Sample Questions:
Question #1
What is the primary purpose of the takeover process in corporate governance?
A. To allow management to control when and how they are replaced in the event of a takeover
B. To provide a mechanism for companies to buy back their own shares from the secondary market
C. To facilitate the transfer of control in a way that ensures shareholder interests are protected and fairly addressed
D. To enable a single shareholder to acquire control of a company through the purchase of all outstanding shares
Question #2
What type of trading involves the use of algorithms to execute orders?
A. Trading strategies that are driven by market behaviours
B. Manual stock selection based on fundamental and technical analysis
C. Broker-executed trades based on dealer recommendations
D. Automated trading using mathematical models
Question #3
A shareholder in Canada receives a dividend payment from a Canadian corporation. Which of the following best describes how dividends are typically received in Canada?
A. Dividends are paid directly to the shareholder's bank or brokerage account
B. Dividends are declared and distributed after shareholders submit a claim of dividend
C. Dividends are automatically reinvested unless the shareholder opts out
D. Dividends are paid in a combination of stock and cash, where shareholders decide case by case
Question #4
What role do margin requirements play in managing risk for both short and long positions?
A. They increase the amount of capital needed but do not reduce the leverage available
B. They are not enforced for accounts where trades are executed at the dealer's discretion
C. They apply exclusively to short positions, with no impact on long positions
D. They require clients to maintain sufficient funds to cover losses in both short and long positions
Question #5
Following two recent annual reviews it was determined that a client's commission-based account is appropriately balanced. The advisor recommends trades that are unnecessary to fulfil the client's investment goals, and describes the key features of the product including the costs. Which of the following is true?
A. This is a potential failure of the duty of best execution
B. This is not a violation because the account was appropriately balanced
C. This is not a violation because the advisor disclosed all the costs
D. This is a potential breach of the advisor's fiduciary duty
Solutions:
| Question #1 Correct Answer: C | Question #2 Correct Answer: D | Question #3 Correct Answer: A | Question #4 Correct Answer: D | Question #5 Correct Answer: D |
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