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CIRO CIRE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Securities, managed products, mutual funds and other investments | 19% | - Other investments - Asset classes - Fixed income securities and products - Equity investment considerations - Pooled products - Exchange-traded funds - Fixed income investment considerations - Market indices - Managed products - Equities - Managed product investment considerations - Mutual funds |
| Topic 2: Overview of Canadian securities regulatory framework | 10% | - Criminal Code and financial crime - Bank Act and Bankruptcy and Insolvency Act - Other investment industry regulators and agencies - Confidentiality, privacy, anti-spam and shareholder rights legislation - Canadian Investor Protection Fund - Role and authority of the Canadian Securities Administrators and provincial/territorial securities and derivatives regulators - Investment Dealer registration and individual approval requirements - Role and authority of the Canadian Investment Regulatory Organization - Marketplaces and trading venues - Anti-money laundering requirements - Clearing agencies |
| Topic 3: Derivatives | 5% | - Options - Listed and over-the-counter derivatives markets - Prohibited derivative trading practices - Derivative account administration - Derivative trading strategies - Uses of derivatives - Transactional elements of futures and options - Futures, forwards, swaps and contracts for difference |
| Topic 4: Conflicts of interest and ethics | 15% | - Client confidentiality - Outside activities of Approved Persons - Ethical and legal responsibilities to clients - CIRO and other ethical standards - Personal financial dealings with clients - Managing conflicts of interest - Positions of influence - Information barriers and restricted lists - Ethics and regulatory rules - Cybersecurity and confidential information - Conflict identification, avoidance, addressing and disclosure - Ethical principles and standards of conduct |
| Topic 5: Market integrity, trade execution and settlement | 12% | - UMIR gatekeeping obligations - Order types - Margin requirements - Order entry, trade processing, settlement and delivery - Order variations, cancellations and corrections - Account types - Gatekeeping for manipulative and deceptive practices - Universal Market Integrity Rules - Order confirmation requirements - Reporting obligations - Investment banking, research and corporate finance - Derivative trading agreements |
| Topic 6: Market and company analysis | 8% | - Industry performance analysis - Economic information and indicators - Basic economic theories - Macroeconomic effects on financial markets - Company regulation, disclosure and investor rights - Technical and statistical analysis tools - Market theories and stock market behaviour - Macroeconomic factors and policies - Company performance analysis |
| Topic 7: Prospective client relationships | 10% | - Client recordkeeping - Institutional client qualification - Retail client information and risk profile - Accredited investors and exemptions - Client relationship model - Costs, fees, turnover and taxes - Investment Dealer onboarding process - Third parties and professional advisers - Retail and institutional clients - Account agreements and welcome documentation |
| Topic 8: Client complaint handling and reporting | 5% | - Investment Dealer complaint reporting obligations - CIRO and provincial regulator roles in complaint handling - Settlement agreements with clients - Client recourse options - Complaint policies, procedures and recordkeeping - Client issues and potential liability - Investment Dealer obligations to clients |
| Topic 9: Scope of client relationships | 15% | - Institutional Investment Dealer services - Account appropriateness versus suitability - Clients residing in the United States and other foreign jurisdictions - Know-your-product requirements - Investment performance benchmarks - Relationship disclosure - Account appropriateness - Suitability exemptions - Escalation to subject matter experts - Product due diligence - Trust, agency and fiduciary duty - Registered Representative role and client service - Client suitability determination - Investment Representative role and client service - Retail Investment Dealer services - Investment management styles and strategies - Institutional client sophistication and suitability exemptions |
CIRO Canadian Investment Regulatory Sample Questions:
Question 1
Which of the following could be a market order?
A. An order for the purchase or sale of a listed or a quoted security at the closing sale price
B. An order that includes a client order as well as a non-client order or principal order, or both
C. Buy a security or a derivative to be executed upon entry to a marketplace at the best ask price
D. Buy a security or derivative to be executed at a specified maximum price
Question 2
What is the function of the Canadian Securities Administrators (CSA) in regulating alternative trading systems (ATS)?
A. To ensure ATS platforms comply with securities laws and maintain transparency
B. To regulate the conduct of individual Investment Dealers on ATS platforms
C. To manage the clearing and settlement of trades executed on ATS
D. To approve all trades placed and executed on ATS platforms
Question 3
Which of the following scenarios best illustrates the use of derivatives for risk management through hedging?
A. A hedge fund uses leverage in derivatives to amplify potential returns in its portfolio
B. An investor buys call options on a stock, anticipating its price will rise in the near future
C. A company purchases a forward contract to lock in a fixed exchange rate for a future international transaction
D. A trader enters into a speculative futures contract to capitalize on anticipated price movements in crude oil
Question 4
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 5
Once the know-your-client (KYC) information has been collected what should an Investment Dealer do with that information?
A. Review the information and then destroy it to comply with data retention rules
B. Ensure the information is accurate and complete through its own verification
C. Take reasonable steps to have the client confirm the accuracy of the information
D. Require the client to sign a certification that the KYC information is complete and true
Solutions:
| Question 1 Answer: C | Question 2 Answer: A | Question 3 Answer: C | Question 4 Answer: B | Question 5 Answer: C |
