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CIRO CIRE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Client complaint handling and reporting | 5% | - Investment Dealer obligations to clients - CIRO and provincial regulator roles in complaint handling - Client recourse options - Settlement agreements with clients - Investment Dealer complaint reporting obligations - Client issues and potential liability - Complaint policies, procedures and recordkeeping |
| Topic 2: Market and company analysis | 8% | - Macroeconomic factors and policies - Industry performance analysis - Market theories and stock market behaviour - Basic economic theories - Technical and statistical analysis tools - Company performance analysis - Company regulation, disclosure and investor rights - Economic information and indicators - Macroeconomic effects on financial markets |
| Topic 3: Conflicts of interest and ethics | 15% | - Positions of influence - Outside activities of Approved Persons - Ethical principles and standards of conduct - Ethics and regulatory rules - Ethical and legal responsibilities to clients - Information barriers and restricted lists - Cybersecurity and confidential information - Personal financial dealings with clients - Client confidentiality - CIRO and other ethical standards - Managing conflicts of interest - Conflict identification, avoidance, addressing and disclosure |
| Topic 4: Derivatives | 5% | - Options - Derivative account administration - Derivative trading strategies - Listed and over-the-counter derivatives markets - Transactional elements of futures and options - Prohibited derivative trading practices - Futures, forwards, swaps and contracts for difference - Uses of derivatives |
| Topic 5: Prospective client relationships | 10% | - Accredited investors and exemptions - Client relationship model - Retail client information and risk profile - Account agreements and welcome documentation - Institutional client qualification - Client recordkeeping - Costs, fees, turnover and taxes - Retail and institutional clients - Third parties and professional advisers - Investment Dealer onboarding process |
| Topic 6: Scope of client relationships | 15% | - Suitability exemptions - Clients residing in the United States and other foreign jurisdictions - Trust, agency and fiduciary duty - Retail Investment Dealer services - Institutional Investment Dealer services - Institutional client sophistication and suitability exemptions - Investment performance benchmarks - Registered Representative role and client service - Investment management styles and strategies - Account appropriateness - Escalation to subject matter experts - Product due diligence - Investment Representative role and client service - Relationship disclosure - Account appropriateness versus suitability - Client suitability determination - Know-your-product requirements |
| Topic 7: Overview of Canadian securities regulatory framework | 10% | - Marketplaces and trading venues - Confidentiality, privacy, anti-spam and shareholder rights legislation - Canadian Investor Protection Fund - Anti-money laundering requirements - Investment Dealer registration and individual approval requirements - Role and authority of the Canadian Investment Regulatory Organization - Bank Act and Bankruptcy and Insolvency Act - Role and authority of the Canadian Securities Administrators and provincial/territorial securities and derivatives regulators - Criminal Code and financial crime - Clearing agencies - Other investment industry regulators and agencies |
| Topic 8: Securities, managed products, mutual funds and other investments | 19% | - Equities - Equity investment considerations - Fixed income securities and products - Fixed income investment considerations - Managed product investment considerations - Exchange-traded funds - Market indices - Other investments - Pooled products - Mutual funds - Asset classes - Managed products |
| Topic 9: Market integrity, trade execution and settlement | 12% | - Investment banking, research and corporate finance - UMIR gatekeeping obligations - Reporting obligations - Order entry, trade processing, settlement and delivery - Margin requirements - Order types - Account types - Gatekeeping for manipulative and deceptive practices - Order confirmation requirements - Universal Market Integrity Rules - Derivative trading agreements - Order variations, cancellations and corrections |
CIRO Canadian Investment Regulatory Sample Questions:
1. What is the primary mandate of the Office of the Superintendent of Financial Institutions (OSFI)?
A) Managing investor protection funds
B) Investigating securities fraud
C) Monitoring anti-money laundering compliance
D) Supervising federally-regulated financial institutions
2. What is the function of the Canadian Securities Administrators (CSA) in regulating alternative trading systems (ATS)?
A) To approve all trades placed and executed on ATS platforms
B) To manage the clearing and settlement of trades executed on ATS
C) To regulate the conduct of individual Investment Dealers on ATS platforms
D) To ensure ATS platforms comply with securities laws and maintain transparency
3. Hedge fund is required to disclose certain information to investors. What is a key feature of these disclosure requirements in most jurisdictions?
A) Immediate reporting of daily performance to regulatory bodies
B) Full public transparency of portfolio holdings
C) Disclosure of detailed investment strategies to all potential investors
D) Limited disclosure aimed at accredited or institutional investors
4. An Investment Dealer has just received client information as part of the know-your-client (KYC) process. What is now required of the dealer within a reasonable time?
A) Have the client confirm the accuracy of the information
B) Confirm the client's risk tolerance with external parties
C) Prepare a standard portfolio for the client
D) Assign the client a risk rating based on market trends
5. What is the purpose of the Canadian Anti-Spam Legislation (CASL)?
A) To oversee securities-related email marketing campaigns
B) To block unsolicited commercial messages without consent
C) To ensure compliance with privacy law in email communications
D) To regulate the use of electronic signatures
Solutions:
| Question # 1 Answer: D | Question # 2 Answer: D | Question # 3 Answer: D | Question # 4 Answer: A | Question # 5 Answer: B |
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