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CIRO CIRE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Conflicts of interest and ethics | 15% | - Information controls, barriers, firewalls and restricted lists - Client confidentiality policies and procedures - Importance of managing conflicts of interest - Requirements regarding positions of influence - CIRO and other ethical standards of conduct - Role of cybersecurity in protecting confidential information - Inappropriate or prohibited personal financial dealings with clients - Ethical and legal responsibilities to clients - Importance of ethics and its relationship to rules - Activities outside an Investment Dealer - Ethical principles and standards of conduct for Approved Persons and Investment Dealers - Conflicts of interest management process |
| Client complaint handling and reporting | 5% | - Potential client issues, liability and consequences - Role of CIRO and provincial regulators in the complaints handling framework - Policies and procedures for reporting, handling and maintaining complaint records - Investment Dealer obligations to clients - Recourse available to dissatisfied clients - Investment Dealer complaint reporting obligations and penalties - Prohibited practices in client settlement agreements |
| Derivatives | 5% | - Basic uses of derivatives - Single and multi-legged derivative trading strategies - Features of options contract types - Prohibited derivative trading practices - Administrative requirements for derivative trading with clients - Features of other derivative contract types - Listed versus over-the-counter derivative markets - Basic transactional elements of futures and options |
| Market and company analysis | 8% | - Technical and statistical analysis tools and information sources - Rules relating to companies - Industry performance analysis - Economic indicators and sources of information - Basic economic theories - Effects of macroeconomic factors on financial markets - Company performance analysis tools - Basic market theories and stock market behaviour - Factors influencing the macroeconomy |
| Market integrity, trade execution and settlement | 12% | - Order confirmation requirements - Order variations, cancellations and corrections - Gatekeeping requirements for manipulative and deceptive practices, unacceptable activities and front running - Reporting obligations to firms and regulators - Features of different order types - UMIR gatekeeping obligations - Specialized trading agreements for derivative accounts - Features of different account types - Order entry, trade management, settlement and delivery - Functions of investment banking, research and corporate finance - Universal Market Integrity Rules - Margin requirements |
| Securities, managed products, mutual funds and other investments | 19% | - Asset classes generally sold and traded at an Investment Dealer - Purpose and uses of market indices - Considerations affecting managed product investors - Types of pooled products - Types, features, risks and returns of equities - Features, risks and returns of managed products - Considerations affecting fixed income investors - Considerations affecting exchange-traded fund investors - Considerations affecting equity investors and potential shareholders - 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 mutual fund investors |
| Overview of Canadian securities regulatory framework | 10% | - Function and purpose of investment industry marketplaces - Purpose and implications of the Bank Act and Bankruptcy and Insolvency Act - Anti-money laundering and anti-terrorist financing legislation and regulations - Function and purpose of the Canadian Investor Protection Fund - Other applicable laws including confidentiality, privacy, anti-spam, company disclosure and shareholder rights - Role and authority of the Canadian Securities Administrators and provincial and territorial securities and derivatives regulators - Function and purpose of other investment industry regulators and agencies - Role and authority of the Canadian Investment Regulatory Organization - Function and purpose of clearing agencies - Criminal Code and its application to financial crime - Investment Dealer registration and individual approval requirements |
| Prospective client relationships | 10% | - Institutional client qualification requirements - Client record documentation, filing and maintenance - Role of cost in product selection - Exemptions under National Instrument 45-106 - Impact of fees, turnover and taxes on investment returns - Third parties and other professionals in the client's life - Investment Dealer onboarding process - Required account agreement and Firm Welcome package documents - Client relationship model - Retail client information collection - Differences between retail and institutional clients |
| Scope of client relationships | 15% | - Role of the Registered Representative in providing client service - Typical services provided by retail Investment Dealers - Requirements for working with clients in the United States and other foreign jurisdictions - Systematic approaches to investment management and investment strategies - Suitability determination requirements for retail clients - Know-your-product obligations - Internal escalation procedures and subject matter experts - Trust, agency and fiduciary duty - Account appropriateness obligations - Typical services provided by institutional Investment Dealers - Exemptions from suitability determination requirements - Investment performance benchmarks - Account appropriateness versus suitability determination - Institutional client sophistication assessment and suitability exemptions - Purpose and content of relationship disclosure - Product due diligence obligations - Role of the Investment Representative in providing client service |
CIRO Canadian Investment Regulatory Sample Questions:
Question 1
What is the role of the Financial Transactions and Reports Analysis Centre of Canada (FINTRAC) in the investment industry sector?
A. To manage clearing and settlement of trades
B. To regulate investment advisors and Investment Dealers
C. To monitor and report on suspicious financial transactions
D. To enforce securities laws across provinces
Question 2
Which of the following statements best describes the benefit of holding a cumulative preferred share?
A. It accumulates interest on missed dividends until they are paid
B. It accumulates voting rights regardless of dividend payment status
C. It allows companies to accumulate redemption rights over a set time
D. It allows unpaid dividends to accumulate and be paid with priority
Question 3
A risk-averse investor is considering investing in preferred shares. What is one key feature of preferred shares that may appeal to such investors?
A. Preferred shares guarantee the highest potential for capital gains among all equity investments
B. Preferred shares provide fixed dividends and have a priority claim on company assets over common shares
C. Preferred shares typically pay fixed dividends and provide significant voting rights to shareholders
D. Preferred shares offer no risk of dividend suspension under any market conditions
Question 4
What is the primary use of commodities like soybeans, crude oil, and copper?
A. They are used to protect against fluctuating prices
B. They are used for investment and speculative purposes
C. They are used for consumption and industrial purposes
D. They are used to profit from fluctuating prices
Question 5
Which of the following best defines the main objective of fundamental analysis in relation to stock market behavior?
A. To identify stock price movements based on technical chart patterns
B. To analyze historical stock prices to forecast future trends
C. To predict short-term price movements based on market sentiment
D. To evaluate a company's financial health and intrinsic value
Solutions:
| Question 1 Answer: C | Question 2 Answer: D | Question 3 Answer: B | Question 4 Answer: C | Question 5 Answer: D |
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