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CIRO CIRE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Overview of Canadian securities regulatory framework | 10% | - Investment Dealer registration and individual approval requirements - Criminal Code and financial crime - Canadian Investor Protection Fund - Bank Act and Bankruptcy and Insolvency Act - Role and authority of the Canadian Investment Regulatory Organization - Other investment industry regulators and agencies - Anti-money laundering requirements - Marketplaces and trading venues - Confidentiality, privacy, anti-spam and shareholder rights legislation - Role and authority of the Canadian Securities Administrators and provincial/territorial securities and derivatives regulators - Clearing agencies |
| Scope of client relationships | 15% | - Investment performance benchmarks - Product due diligence - Registered Representative role and client service - Trust, agency and fiduciary duty - Account appropriateness versus suitability - Retail Investment Dealer services - Client suitability determination - Suitability exemptions - Investment Representative role and client service - Know-your-product requirements - Institutional Investment Dealer services - Account appropriateness - Clients residing in the United States and other foreign jurisdictions - Investment management styles and strategies - Institutional client sophistication and suitability exemptions - Escalation to subject matter experts - Relationship disclosure |
| Market integrity, trade execution and settlement | 12% | - Order confirmation requirements - Universal Market Integrity Rules - Derivative trading agreements - Order types - Account types - Order variations, cancellations and corrections - Margin requirements - Gatekeeping for manipulative and deceptive practices - UMIR gatekeeping obligations - Reporting obligations - Investment banking, research and corporate finance - Order entry, trade processing, settlement and delivery |
| Conflicts of interest and ethics | 15% | - Cybersecurity and confidential information - Ethics and regulatory rules - Client confidentiality - Positions of influence - Information barriers and restricted lists - Ethical and legal responsibilities to clients - Managing conflicts of interest - Conflict identification, avoidance, addressing and disclosure - CIRO and other ethical standards - Outside activities of Approved Persons - Personal financial dealings with clients - Ethical principles and standards of conduct |
| Prospective client relationships | 10% | - Third parties and professional advisers - Investment Dealer onboarding process - Costs, fees, turnover and taxes - Accredited investors and exemptions - Account agreements and welcome documentation - Retail and institutional clients - Institutional client qualification - Client recordkeeping - Retail client information and risk profile - Client relationship model |
| Client complaint handling and reporting | 5% | - CIRO and provincial regulator roles in complaint handling - Investment Dealer obligations to clients - Complaint policies, procedures and recordkeeping - Client issues and potential liability - Investment Dealer complaint reporting obligations - Client recourse options - Settlement agreements with clients |
| Market and company analysis | 8% | - Company performance analysis - Technical and statistical analysis tools - Market theories and stock market behaviour - Macroeconomic factors and policies - Basic economic theories - Company regulation, disclosure and investor rights - Macroeconomic effects on financial markets - Economic information and indicators - Industry performance analysis |
| Securities, managed products, mutual funds and other investments | 19% | - Market indices - Fixed income securities and products - Pooled products - Equities - Mutual funds - Managed products - Asset classes - Exchange-traded funds - Fixed income investment considerations - Managed product investment considerations - Equity investment considerations - Other investments |
| Derivatives | 5% | - Derivative account administration - Uses of derivatives - Options - Prohibited derivative trading practices - Derivative trading strategies - Listed and over-the-counter derivatives markets - Transactional elements of futures and options - Futures, forwards, swaps and contracts for difference |
CIRO Canadian Investment Regulatory Sample Questions:
Question 1
A leverage disclosure statement has been supplied to a retail client who has not yet acknowledged the statement. What is the requirement on a Registered Representative (RR)?
A. Escalate this issue to the compliance department for investigation
B. Make no investment recommendations until acknowledgement is received
C. Continue to act for the client as the statement is supplied for information only
D. Remind the client they have five days to respond to the statement
Question 2
What must an Investment Dealer include in a remediation plan when addressing a capital deficiency?
A. A list of high-risk investments used to improve capital reserves
B. A summary of penalties imposed on employees responsible for the shortfall
C. A detailed timeline for restoring compliance and actions taken to mitigate risks
D. A request to waive the capital requirement for a defined period
Question 3
Which of the following is an example of an instrument issued by the Canadian Securities Administrators (CSA)?
A. Universal Market Integrity Rules (UMIR)
B. Financial Transactions and Reports Analysis Centre of Canada (FINTRAC) guidelines
C. Investment Dealer Partially Consolidated Rules (IDPC)
D. National Policy 11-202: Process for Prospectus Reviews
Question 4
A central bank raises interest rates to address rising inflation. What is the most likely effect of this policy on the economy?
A. Reduced consumer spending and lower inflation
B. Increased consumer spending and higher inflation
C. Increased borrowing by businesses and individuals
D. Higher demand for goods and services
Question 5
Why might a company choose to issue preferred shares instead of debt?
A. Preferred shares offer tax-deductible dividend payments that lower corporate tax expenses
B. Preferred shares do not create legal obligations to make interest or principal payments
C. Preferred shares provide shareholders with voting rights and a maturity date
D. Preferred shares are less expensive than debt due to their fixed dividend obligations
Solutions:
| Question 1 Answer: B | Question 2 Answer: C | Question 3 Answer: D | Question 4 Answer: A | Question 5 Answer: B |
