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CIRO CIRE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Scope of client relationships | 15% | - Investment performance benchmarks - Account appropriateness versus suitability determination - Product due diligence obligations - Suitability determination requirements for retail clients - Systematic approaches to investment management and investment strategies - Know-your-product obligations - Purpose and content of relationship disclosure - Requirements for working with clients in the United States and other foreign jurisdictions - Exemptions from suitability determination requirements - Typical services provided by retail Investment Dealers - Role of the Registered Representative in providing client service - Trust, agency and fiduciary duty - Institutional client sophistication assessment and suitability exemptions - Role of the Investment Representative in providing client service - Internal escalation procedures and subject matter experts - Account appropriateness obligations - Typical services provided by institutional Investment Dealers |
| Prospective client relationships | 10% | - Required account agreement and Firm Welcome package documents - Role of cost in product selection - Differences between retail and institutional clients - Third parties and other professionals in the client's life - Client relationship model - Exemptions under National Instrument 45-106 - Institutional client qualification requirements - Client record documentation, filing and maintenance - Impact of fees, turnover and taxes on investment returns - Investment Dealer onboarding process - Retail client information collection |
| Client complaint handling and reporting | 5% | - Potential client issues, liability and consequences - Policies and procedures for reporting, handling and maintaining complaint records - Prohibited practices in client settlement agreements - Investment Dealer obligations to clients - Recourse available to dissatisfied clients - Role of CIRO and provincial regulators in the complaints handling framework - Investment Dealer complaint reporting obligations and penalties |
| Market integrity, trade execution and settlement | 12% | - Margin requirements - Features of different account types - Order entry, trade management, settlement and delivery - Universal Market Integrity Rules - Reporting obligations to firms and regulators - Specialized trading agreements for derivative accounts - Order variations, cancellations and corrections - Gatekeeping requirements for manipulative and deceptive practices, unacceptable activities and front running - Functions of investment banking, research and corporate finance - Order confirmation requirements - UMIR gatekeeping obligations - Features of different order types |
| Derivatives | 5% | - Features of options contract types - Administrative requirements for derivative trading with clients - Basic uses of derivatives - Listed versus over-the-counter derivative markets - Basic transactional elements of futures and options - Features of other derivative contract types - Single and multi-legged derivative trading strategies - Prohibited derivative trading practices |
| Conflicts of interest and ethics | 15% | - Activities outside an Investment Dealer - Role of cybersecurity in protecting confidential information - Ethical and legal responsibilities to clients - CIRO and other ethical standards of conduct - Ethical principles and standards of conduct for Approved Persons and Investment Dealers - Conflicts of interest management process - Client confidentiality policies and procedures - Information controls, barriers, firewalls and restricted lists - Importance of ethics and its relationship to rules - Requirements regarding positions of influence - Inappropriate or prohibited personal financial dealings with clients - Importance of managing conflicts of interest |
| Market and company analysis | 8% | - Company performance analysis tools - Industry performance analysis - Basic economic theories - Factors influencing the macroeconomy - Technical and statistical analysis tools and information sources - Effects of macroeconomic factors on financial markets - Basic market theories and stock market behaviour - Economic indicators and sources of information - Rules relating to companies |
| Overview of Canadian securities regulatory framework | 10% | - Function and purpose of other investment industry regulators and agencies - Purpose and implications of the Bank Act and Bankruptcy and Insolvency Act - Function and purpose of investment industry marketplaces - Investment Dealer registration and individual approval requirements - Role and authority of the Canadian Investment Regulatory Organization - Role and authority of the Canadian Securities Administrators and provincial and territorial securities and derivatives regulators - Anti-money laundering and anti-terrorist financing legislation and regulations - Function and purpose of the Canadian Investor Protection Fund - Function and purpose of clearing agencies - Other applicable laws including confidentiality, privacy, anti-spam, company disclosure and shareholder rights - Criminal Code and its application to financial crime |
| Securities, managed products, mutual funds and other investments | 19% | - Purpose and uses of market indices - Considerations affecting fixed income investors - Asset classes generally sold and traded at an Investment Dealer - Considerations affecting mutual fund investors - Other investments including hedge funds, structured products, alternative investment funds, crypto assets and ESG-related products - Considerations affecting managed product investors - Types of pooled products - Features, risks and returns of managed products - Types, features, risks and returns of equities - Types, features, risks and returns of fixed income securities and products - Considerations affecting equity investors and potential shareholders - Considerations affecting exchange-traded fund investors |
CIRO Canadian Investment Regulatory Sample Questions:
Question 1
How are new Canadian government bonds typically issued to the market?
A. Through direct sales to retail investors at a posted price
B. At a set rate offered to institutions with the highest bids
C. By auction where Investment Dealers bid based on the yield
D. By private placement agreements with institutional brokers
Question 2
Which of the following best describes the best execution rule?
A. It requires that trades are executed on the most advantageous terms for the client
B. It mandates that trades must be executed at the price most favorable to the market participant
C. It stipulates that all trades should be executed by the same dealer to maintain consistency
D. It ensures that trades are executed at the best possible price and reducing commissions
Question 3
In a competitive market, when the quantity demanded equals the quantity supplied, what is the result for the price of the good or service?
A. The price will increase due to excess supply
B. The price will decrease due to excess demand
C. The price will remain stable at the equilibrium point
D. The price will fluctuate unpredictably based on market sentiment
Question 4
Which of the following factors must an Investment Dealer address when executing all client orders?
A. The resulting price of the security after the order is placed
B. The cost of execution to the Investment Dealer
C. The speed at which the order execution is reported to the client
D. The certainty of the execution of the client order
Question 5
Where would a retail client of an Investment Dealer find a description of its complaint handling procedures?
A. The Relationship Disclosure
B. The know-your-client (KYC) Information Form
C. The Fee Disclosure Document
D. The Account Opening Agreement
Solutions:
| Question 1 Answer: C | Question 2 Answer: A | Question 3 Answer: C | Question 4 Answer: D | Question 5 Answer: A |
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