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CIRO CIRE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Overview of Canadian securities regulatory framework | 10% | - Function and purpose of the Canadian Investor Protection Fund - Other applicable laws including confidentiality, privacy, anti-spam, company disclosure and shareholder rights - Anti-money laundering and anti-terrorist financing legislation and regulations - Purpose and implications of the Bank Act and Bankruptcy and Insolvency Act - Criminal Code and its application to financial crime - Function and purpose of clearing agencies - Function and purpose of investment industry marketplaces - Investment Dealer registration and individual approval requirements - Role and authority of the Canadian Securities Administrators and provincial and territorial securities and derivatives regulators - Role and authority of the Canadian Investment Regulatory Organization - Function and purpose of other investment industry regulators and agencies |
| Topic 2: Conflicts of interest and ethics | 15% | - CIRO and other ethical standards of conduct - Ethical principles and standards of conduct for Approved Persons and Investment Dealers - Client confidentiality policies and procedures - Inappropriate or prohibited personal financial dealings with clients - Importance of managing conflicts of interest - Ethical and legal responsibilities to clients - Requirements regarding positions of influence - Activities outside an Investment Dealer - Importance of ethics and its relationship to rules - Role of cybersecurity in protecting confidential information - Conflicts of interest management process - Information controls, barriers, firewalls and restricted lists |
| Topic 3: Securities, managed products, mutual funds and other investments | 19% | - Types, features, risks and returns of equities - Considerations affecting equity investors and potential shareholders - Asset classes generally sold and traded at an Investment Dealer - Considerations affecting mutual fund investors - Features, risks and returns of managed products - Considerations affecting exchange-traded fund investors - Purpose and uses of market indices - 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 - Types, features, risks and returns of fixed income securities and products - Considerations affecting fixed income investors |
| Topic 4: Derivatives | 5% | - Features of other derivative contract types - Basic transactional elements of futures and options - Listed versus over-the-counter derivative markets - Prohibited derivative trading practices - Features of options contract types - Single and multi-legged derivative trading strategies - Basic uses of derivatives - Administrative requirements for derivative trading with clients |
| Topic 5: Prospective client relationships | 10% | - Client relationship model - Required account agreement and Firm Welcome package documents - Role of cost in product selection - Differences between retail and institutional clients - Client record documentation, filing and maintenance - Third parties and other professionals in the client's life - Investment Dealer onboarding process - Exemptions under National Instrument 45-106 - Institutional client qualification requirements - Retail client information collection - Impact of fees, turnover and taxes on investment returns |
| Topic 6: Client complaint handling and reporting | 5% | - Investment Dealer complaint reporting obligations and penalties - Investment Dealer obligations to clients - Policies and procedures for reporting, handling and maintaining complaint records - Recourse available to dissatisfied clients - Role of CIRO and provincial regulators in the complaints handling framework - Prohibited practices in client settlement agreements - Potential client issues, liability and consequences |
| Topic 7: Market integrity, trade execution and settlement | 12% | - Order variations, cancellations and corrections - Order entry, trade management, settlement and delivery - Order confirmation requirements - Features of different account types - Features of different order types - Functions of investment banking, research and corporate finance - UMIR gatekeeping obligations - Universal Market Integrity Rules - Margin requirements - Reporting obligations to firms and regulators - Gatekeeping requirements for manipulative and deceptive practices, unacceptable activities and front running - Specialized trading agreements for derivative accounts |
| Topic 8: Market and company analysis | 8% | - Factors influencing the macroeconomy - Effects of macroeconomic factors on financial markets - Rules relating to companies - Company performance analysis tools - Economic indicators and sources of information - Technical and statistical analysis tools and information sources - Industry performance analysis - Basic market theories and stock market behaviour - Basic economic theories |
| Topic 9: Scope of client relationships | 15% | - Trust, agency and fiduciary duty - Account appropriateness obligations - Institutional client sophistication assessment and suitability exemptions - Requirements for working with clients in the United States and other foreign jurisdictions - Know-your-product obligations - Exemptions from suitability determination requirements - Role of the Investment Representative in providing client service - Investment performance benchmarks - Product due diligence obligations - Systematic approaches to investment management and investment strategies - Internal escalation procedures and subject matter experts - Role of the Registered Representative in providing client service - Typical services provided by retail Investment Dealers - Account appropriateness versus suitability determination - Suitability determination requirements for retail clients - Purpose and content of relationship disclosure - Typical services provided by institutional Investment Dealers |
CIRO Canadian Investment Regulatory Sample Questions:
Question 1
Why is it important for an Investment Representative (IR) to apply ethical principles when providing information to clients?
A. They provide alternative standards to replace the rules
B. They ensure the client is satisfied with the information provided
C. They provide additional standards to augment the rules
D. They ensure relevant rules governing the information are followed
Question 2
Which of the following accurately describes a key characteristic of mutual fund trusts?
A. They are subject to a flat tax rate, regardless of the income they generate
B. They issue shares that can be traded on the stock exchange, similar to stocks
C. They invest in a diversified portfolio of assets and pass on income to unitholders
D. They are restricted to investing in government bonds and cannot hold equity investments
Question 3
Before purchasing shares in a publicly traded company, it is important to evaluate a key advantage and disadvantage of share ownership. What should be considered?
A. Shareholders are generally repaid before bondholders in the event of insolvency
B. Share ownership provides potential capital gains and claim on dividends if distributed
C. Share ownership provides limited financial risk but no influence on company direction
D. Share ownership often offers fixed payments and guaranteed principal at maturity
Question 4
What is the purpose of the Canadian Anti-Spam Legislation (CASL)?
A. To ensure compliance with privacy law in email communications
B. To block unsolicited commercial messages without consent
C. To regulate the use of electronic signatures
D. To oversee securities-related email marketing campaigns
Question 5
An Investment Representative (IR) is asked by a client for information about a service that the IR does not fully understand. What is the IR's ethical responsibility?
A. In putting the client first, the IR should state the service is not available
B. So as not to diminish investor confidence, explain the service in positive terms
C. In the spirit of openness and fairness, ask a colleague better placed to explain
D. In order not to be negligent, explain the service to the best of their ability
Solutions:
| Question 1 Answer: C | Question 2 Answer: C | Question 3 Answer: B | Question 4 Answer: B | Question 5 Answer: C |
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