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CIRO CIRE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Market integrity, trade execution and settlement | 12% | - Investment banking, research and corporate finance - Order confirmation requirements - Derivative trading agreements - Universal Market Integrity Rules - Account types - Order variations, cancellations and corrections - Order types - UMIR gatekeeping obligations - Gatekeeping for manipulative and deceptive practices - Reporting obligations - Order entry, trade processing, settlement and delivery - Margin requirements |
| Securities, managed products, mutual funds and other investments | 19% | - Equities - Fixed income investment considerations - Equity investment considerations - Market indices - Managed product investment considerations - Managed products - Exchange-traded funds - Mutual funds - Fixed income securities and products - Asset classes - Pooled products - Other investments |
| Client complaint handling and reporting | 5% | - Complaint policies, procedures and recordkeeping - Client issues and potential liability - Investment Dealer obligations to clients - Client recourse options - Investment Dealer complaint reporting obligations - CIRO and provincial regulator roles in complaint handling - Settlement agreements with clients |
| Scope of client relationships | 15% | - Escalation to subject matter experts - Client suitability determination - Trust, agency and fiduciary duty - Relationship disclosure - Retail Investment Dealer services - Product due diligence - Account appropriateness versus suitability - Investment Representative role and client service - Clients residing in the United States and other foreign jurisdictions - Investment management styles and strategies - Investment performance benchmarks - Account appropriateness - Registered Representative role and client service - Institutional client sophistication and suitability exemptions - Suitability exemptions - Institutional Investment Dealer services - Know-your-product requirements |
| Market and company analysis | 8% | - Market theories and stock market behaviour - Economic information and indicators - Basic economic theories - Technical and statistical analysis tools - Macroeconomic effects on financial markets - Industry performance analysis - Company regulation, disclosure and investor rights - Company performance analysis - Macroeconomic factors and policies |
| Prospective client relationships | 10% | - Accredited investors and exemptions - Retail and institutional clients - Account agreements and welcome documentation - Retail client information and risk profile - Investment Dealer onboarding process - Third parties and professional advisers - Client recordkeeping - Costs, fees, turnover and taxes - Client relationship model - Institutional client qualification |
| Conflicts of interest and ethics | 15% | - Positions of influence - Cybersecurity and confidential information - CIRO and other ethical standards - Outside activities of Approved Persons - Ethical and legal responsibilities to clients - Ethical principles and standards of conduct - Ethics and regulatory rules - Client confidentiality - Conflict identification, avoidance, addressing and disclosure - Managing conflicts of interest - Information barriers and restricted lists - Personal financial dealings with clients |
| Derivatives | 5% | - Derivative account administration - Transactional elements of futures and options - Options - Uses of derivatives - Derivative trading strategies - Listed and over-the-counter derivatives markets - Prohibited derivative trading practices - Futures, forwards, swaps and contracts for difference |
| Overview of Canadian securities regulatory framework | 10% | - Role and authority of the Canadian Investment Regulatory Organization - Confidentiality, privacy, anti-spam and shareholder rights legislation - Role and authority of the Canadian Securities Administrators and provincial/territorial securities and derivatives regulators - Other investment industry regulators and agencies - Criminal Code and financial crime - Bank Act and Bankruptcy and Insolvency Act - Canadian Investor Protection Fund - Marketplaces and trading venues - Investment Dealer registration and individual approval requirements - Anti-money laundering requirements - Clearing agencies |
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
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 3
Which of the following reflects the CIRO standards of conduct in relation to client interaction?
A. Regulated Persons must be open and fair in the disclosure to clients of any price sensitive information
B. An unreasonable departure from the standards expected of a Regulated Person is acceptable in isolated situations
C. Disclosure of complex investment risks can be withheld if to disclose could be detrimental to the firm's interests
D. Emphasize the positive aspects of an investment opportunity to maintain the client's confidence in the integrity of the markets
Question 4
An Investment Dealer must explain the complaint escalation options available to a Retail Client. Which of the following is the most likely next step a client would take if dissatisfied with the firm's final response to a complaint?
A. Referral to the ombudsman
B. Referral to the Canadian Securities Administrators (CSA)
C. Criminal legal proceedings
D. Class action
Question 5
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
Solutions:
| Question 1 Answer: C | Question 2 Answer: C | Question 3 Answer: A | Question 4 Answer: A | Question 5 Answer: B |
