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CIRO CIRE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Conflicts of interest and ethics | 15% | - Conflicts of interest management process - Requirements regarding positions of influence - Role of cybersecurity in protecting confidential information - Importance of ethics and its relationship to rules - CIRO and other ethical standards of conduct - Client confidentiality policies and procedures - Inappropriate or prohibited personal financial dealings with clients - Importance of managing conflicts of interest - Activities outside an Investment Dealer - Ethical principles and standards of conduct for Approved Persons and Investment Dealers - Ethical and legal responsibilities to clients - Information controls, barriers, firewalls and restricted lists |
| Derivatives | 5% | - Prohibited derivative trading practices - Single and multi-legged derivative trading strategies - Features of options contract types - Basic uses of derivatives - Basic transactional elements of futures and options - Listed versus over-the-counter derivative markets - Features of other derivative contract types - Administrative requirements for derivative trading with clients |
| Client complaint handling and reporting | 5% | - Potential client issues, liability and consequences - Prohibited practices in client settlement agreements - Policies and procedures for reporting, handling and maintaining complaint records - Recourse available to dissatisfied clients - Investment Dealer complaint reporting obligations and penalties - Role of CIRO and provincial regulators in the complaints handling framework - Investment Dealer obligations to clients |
| Prospective client relationships | 10% | - Differences between retail and institutional clients - Client record documentation, filing and maintenance - Role of cost in product selection - Third parties and other professionals in the client's life - Exemptions under National Instrument 45-106 - Impact of fees, turnover and taxes on investment returns - Institutional client qualification requirements - Retail client information collection - Investment Dealer onboarding process - Client relationship model - Required account agreement and Firm Welcome package documents |
| Scope of client relationships | 15% | - Exemptions from suitability determination requirements - Product due diligence obligations - Suitability determination requirements for retail clients - Typical services provided by retail Investment Dealers - Typical services provided by institutional Investment Dealers - Account appropriateness obligations - Requirements for working with clients in the United States and other foreign jurisdictions - Systematic approaches to investment management and investment strategies - Purpose and content of relationship disclosure - Know-your-product obligations - Account appropriateness versus suitability determination - Role of the Investment Representative in providing client service - Institutional client sophistication assessment and suitability exemptions - Internal escalation procedures and subject matter experts - Role of the Registered Representative in providing client service - Investment performance benchmarks - Trust, agency and fiduciary duty |
| Market and company analysis | 8% | - Basic economic theories - Effects of macroeconomic factors on financial markets - Rules relating to companies - Factors influencing the macroeconomy - Basic market theories and stock market behaviour - Technical and statistical analysis tools and information sources - Economic indicators and sources of information - Industry performance analysis - Company performance analysis tools |
| Securities, managed products, mutual funds and other investments | 19% | - Asset classes generally sold and traded at an Investment Dealer - Considerations affecting equity investors and potential shareholders - Considerations affecting mutual fund investors - Other investments including hedge funds, structured products, alternative investment funds, crypto assets and ESG-related products - Types, features, risks and returns of fixed income securities and products - Considerations affecting managed product investors - Considerations affecting fixed income investors - Features, risks and returns of managed products - Purpose and uses of market indices - Considerations affecting exchange-traded fund investors - Types, features, risks and returns of equities - Types of pooled products |
| Market integrity, trade execution and settlement | 12% | - Universal Market Integrity Rules - Order entry, trade management, settlement and delivery - Reporting obligations to firms and regulators - Features of different order types - Features of different account types - UMIR gatekeeping obligations - Order variations, cancellations and corrections - Order confirmation requirements - Specialized trading agreements for derivative accounts - Functions of investment banking, research and corporate finance - Gatekeeping requirements for manipulative and deceptive practices, unacceptable activities and front running - Margin requirements |
| Overview of Canadian securities regulatory framework | 10% | - 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 - Function and purpose of the Canadian Investor Protection Fund - Purpose and implications of the Bank Act and Bankruptcy and Insolvency Act - Function and purpose of other investment industry regulators and agencies - Anti-money laundering and anti-terrorist financing legislation and regulations - Investment Dealer registration and individual approval requirements - Function and purpose of clearing agencies - Other applicable laws including confidentiality, privacy, anti-spam, company disclosure and shareholder rights - Function and purpose of investment industry marketplaces - Criminal Code and its application to financial crime |
CIRO Canadian Investment Regulatory Sample Questions:
1. What is the best course of action if an Investment Representative (IR) discovers a colleague engaging in what appears to be unethical behaviour?
A) Report it immediately to the regulatory authorities
B) Ignore the behaviour to avoid potential conflict
C) Report the activity to the appropriate firm authority
D) Confront the colleague privately to let them know
2. A shareholder owns shares in a company that announces a 2-for-1 stock split. Which of the following most accurately describes the impact of this stock split?
A) The stock split will decrease the total value of the shareholder's investment, causing the company's market capitalization to shrink
B) The number of shares owned by the shareholder will increase, but the overall value of the investment will increase as well
C) The stock split will increase the shareholder's investment value because the company is essentially
"giving" more shares
D) The total value of the shareholder's investment will remain the same, but the number of shares owned will double
3. A client calls their Investment Dealer to cancel an order to purchase 1,000 shares of a stock. However, the order has already been executed. What is the Investment Dealer's most appropriate action in this situation?
A) The dealer should inform the client that the order has already been executed and that it cannot be undone
B) The dealer should try to reverse the trade as soon as possible by executing a new opposing trade
C) The dealer should cancel the order as per the client's request, regardless of the execution status
D) The dealer should inform the client they need to file a request with the exchange to cancel order
4. A trader expects the price of a stock to rise and wants to use a bullish strategy in options trading.
Which of the following strategies should the trader use?
A) Selling a call option
B) Selling a put option
C) Buying a call option
D) Buying a put option
5. An Investment Representative (IR) executes a trade for a client and must confirm the details of the trade, including any associated fees and commissions. When should this confirmation be sent to the client?
A) Promptly after the trade is executed
B) Confirmations are not required
C) One day after the settlement date
D) Immediately before the trade is executed
Solutions:
| Question # 1 Answer: C | Question # 2 Answer: D | Question # 3 Answer: A | Question # 4 Answer: C | Question # 5 Answer: A |
