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CIRO CIRE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Market integrity, trade execution and settlement | 12% | - Universal Market Integrity Rules - UMIR gatekeeping obligations - Margin requirements - Order variations, cancellations and corrections - Order entry, trade processing, settlement and delivery - Order confirmation requirements - Derivative trading agreements - Investment banking, research and corporate finance - Order types - Gatekeeping for manipulative and deceptive practices - Reporting obligations - Account types |
| Prospective client relationships | 10% | - Institutional client qualification - Accredited investors and exemptions - Retail and institutional clients - Client relationship model - Costs, fees, turnover and taxes - Account agreements and welcome documentation - Client recordkeeping - Investment Dealer onboarding process - Retail client information and risk profile - Third parties and professional advisers |
| Market and company analysis | 8% | - Company performance analysis - Macroeconomic factors and policies - Technical and statistical analysis tools - Company regulation, disclosure and investor rights - Basic economic theories - Macroeconomic effects on financial markets - Industry performance analysis - Economic information and indicators - Market theories and stock market behaviour |
| Securities, managed products, mutual funds and other investments | 19% | - Managed products - Pooled products - Market indices - Asset classes - Fixed income securities and products - Fixed income investment considerations - Mutual funds - Equities - Equity investment considerations - Exchange-traded funds - Other investments - Managed product investment considerations |
| Client complaint handling and reporting | 5% | - Settlement agreements with clients - Client issues and potential liability - Client recourse options - Investment Dealer obligations to clients - CIRO and provincial regulator roles in complaint handling - Investment Dealer complaint reporting obligations - Complaint policies, procedures and recordkeeping |
| Overview of Canadian securities regulatory framework | 10% | - Bank Act and Bankruptcy and Insolvency Act - Role and authority of the Canadian Securities Administrators and provincial/territorial securities and derivatives regulators - Canadian Investor Protection Fund - Anti-money laundering requirements - Confidentiality, privacy, anti-spam and shareholder rights legislation - Criminal Code and financial crime - Clearing agencies - Marketplaces and trading venues - Other investment industry regulators and agencies - Role and authority of the Canadian Investment Regulatory Organization - Investment Dealer registration and individual approval requirements |
| Conflicts of interest and ethics | 15% | - Cybersecurity and confidential information - CIRO and other ethical standards - Information barriers and restricted lists - Personal financial dealings with clients - Ethical principles and standards of conduct - Client confidentiality - Managing conflicts of interest - Ethics and regulatory rules - Outside activities of Approved Persons - Ethical and legal responsibilities to clients - Conflict identification, avoidance, addressing and disclosure - Positions of influence |
| Scope of client relationships | 15% | - Client suitability determination - Trust, agency and fiduciary duty - Product due diligence - Account appropriateness versus suitability - Suitability exemptions - Institutional client sophistication and suitability exemptions - Relationship disclosure - Investment Representative role and client service - Institutional Investment Dealer services - Registered Representative role and client service - Account appropriateness - Escalation to subject matter experts - Clients residing in the United States and other foreign jurisdictions - Know-your-product requirements - Investment performance benchmarks - Retail Investment Dealer services - Investment management styles and strategies |
| Derivatives | 5% | - Derivative trading strategies - Listed and over-the-counter derivatives markets - Uses of derivatives - Futures, forwards, swaps and contracts for difference - Transactional elements of futures and options - Prohibited derivative trading practices - Options - Derivative account administration |
CIRO Canadian Investment Regulatory Sample Questions:
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
Correct Answer: C 🗳️
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What is the most likely consequence if an Investment Dealer breaches CIRO rules?
- A. Increased risk of regulatory penalties
- B. Client accounts being frozen
- C. External monitor appointed to oversee
- D. Inability to onboard institutional investors
Correct Answer: A 🗳️
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A product manufacturer uses a disincentive approach and claws back a portion of commissions paid to a Registered Representative (RR) if a client sells their position in a structured product before the two- year anniversary. What is the RR's ethical responsibility during the client's annual suitability review in relation to this structured product?
- A. Encourage the client to sell the product within two years to demonstrate their independence from the firm's policies
- B. Advise the client to hold the product until the two-year anniversary, as this would be in the best interest of the client
- C. Emphasize the claw-back policy, as not to do so would diminish the investor's confidence in the integrity of the market
- D. Ensure any recommendation to hold or sell is based on the just and equitable principles of the trade
Correct Answer: D 🗳️
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An Investment Dealer rewards Registered Representatives (RRs) when they meet monthly goals for asset accumulation. An RR is close to achieving a key threshold and offers to rebate management fees for 3 months if a new client signs on. The RR has not notified the Investment Dealer of this arrangement. Has the RR done anything wrong?
- A. No, because the rebate benefits the client and helps the RR meet their Investment Dealer's goals
- B. Yes, because the RR made a financial arrangement without Investment Dealer approval
- C. Yes, because the RR should offer rebates to all clients, not just new ones, to ensure fairness
- D. No, because management fee rebates are a standard practice in the industry
Correct Answer: B 🗳️
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A company's financial analyst is reviewing the company's financial status as of the end of the fiscal year. Which financial statement will provide the necessary details about the company's assets and liabilities at that specific point in time?
- A. Statement of Cash Flows
- B. Statement of Financial Position
- C. Income Statement
- D. Statement of Comprehensive Income
Correct Answer: B 🗳️
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