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CIRO CIRE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Market and company analysis | 8% | - Technical and statistical analysis tools and information sources - Industry performance analysis - Economic indicators and sources of information - Factors influencing the macroeconomy - Company performance analysis tools - Effects of macroeconomic factors on financial markets - Basic economic theories - Rules relating to companies - Basic market theories and stock market behaviour |
| Overview of Canadian securities regulatory framework | 10% | - Other applicable laws including confidentiality, privacy, anti-spam, company disclosure and shareholder rights - Role and authority of the Canadian Securities Administrators and provincial and territorial securities and derivatives regulators - Role and authority of the Canadian Investment Regulatory Organization - Function and purpose of clearing agencies - Function and purpose of other investment industry regulators and agencies - Criminal Code and its application to financial crime - Function and purpose of the Canadian Investor Protection Fund - Function and purpose of investment industry marketplaces - Investment Dealer registration and individual approval requirements - Purpose and implications of the Bank Act and Bankruptcy and Insolvency Act - Anti-money laundering and anti-terrorist financing legislation and regulations |
| Scope of client relationships | 15% | - Internal escalation procedures and subject matter experts - Account appropriateness versus suitability determination - Role of the Registered Representative in providing client service - Institutional client sophistication assessment and suitability exemptions - Purpose and content of relationship disclosure - Role of the Investment Representative in providing client service - Requirements for working with clients in the United States and other foreign jurisdictions - Trust, agency and fiduciary duty - Product due diligence obligations - Account appropriateness obligations - Know-your-product obligations - Typical services provided by institutional Investment Dealers - Typical services provided by retail Investment Dealers - Suitability determination requirements for retail clients - Investment performance benchmarks - Exemptions from suitability determination requirements - Systematic approaches to investment management and investment strategies |
| Derivatives | 5% | - Single and multi-legged derivative trading strategies - Features of other derivative contract types - Prohibited derivative trading practices - Administrative requirements for derivative trading with clients - Basic transactional elements of futures and options - Features of options contract types - Basic uses of derivatives - Listed versus over-the-counter derivative markets |
| Conflicts of interest and ethics | 15% | - Information controls, barriers, firewalls and restricted lists - Activities outside an Investment Dealer - Inappropriate or prohibited personal financial dealings with clients - Conflicts of interest management process - Ethical and legal responsibilities to clients - Importance of managing conflicts of interest - Ethical principles and standards of conduct for Approved Persons and Investment Dealers - Client confidentiality policies and procedures - Role of cybersecurity in protecting confidential information - Requirements regarding positions of influence - Importance of ethics and its relationship to rules - CIRO and other ethical standards of conduct |
| Client complaint handling and reporting | 5% | - Potential client issues, liability and consequences - Role of CIRO and provincial regulators in the complaints handling framework - Policies and procedures for reporting, handling and maintaining complaint records - Recourse available to dissatisfied clients - Prohibited practices in client settlement agreements - Investment Dealer complaint reporting obligations and penalties - Investment Dealer obligations to clients |
| Market integrity, trade execution and settlement | 12% | - Functions of investment banking, research and corporate finance - Margin requirements - Order variations, cancellations and corrections - Gatekeeping requirements for manipulative and deceptive practices, unacceptable activities and front running - Reporting obligations to firms and regulators - UMIR gatekeeping obligations - Features of different account types - Specialized trading agreements for derivative accounts - Universal Market Integrity Rules - Order entry, trade management, settlement and delivery - Features of different order types - Order confirmation requirements |
| Securities, managed products, mutual funds and other investments | 19% | - Considerations affecting managed product investors - Types, features, risks and returns of equities - Purpose and uses of market indices - Considerations affecting mutual fund investors - Other investments including hedge funds, structured products, alternative investment funds, crypto assets and ESG-related products - Features, risks and returns of managed products - Considerations affecting fixed income investors - Considerations affecting exchange-traded fund investors - Types, features, risks and returns of fixed income securities and products - Asset classes generally sold and traded at an Investment Dealer - Types of pooled products - Considerations affecting equity investors and potential shareholders |
| Prospective client relationships | 10% | - Retail client information collection - Third parties and other professionals in the client's life - Client relationship model - Exemptions under National Instrument 45-106 - Role of cost in product selection - Required account agreement and Firm Welcome package documents - Institutional client qualification requirements - Differences between retail and institutional clients - Client record documentation, filing and maintenance - Investment Dealer onboarding process - Impact of fees, turnover and taxes on investment returns |
CIRO Canadian Investment Regulatory Sample Questions:
Question 1
What should a Registered Representative (RR) do if they unintentionally receive insider information about a publicly traded company?
A. Share the information with trusted colleagues for advice
B. Act on the information to the benefit of their clients
C. Do not act and retain confidentiality to protect the source
D. Refrain from using the information and report to compliance
Question 2
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. Emphasize the positive aspects of an investment opportunity to maintain the client's confidence in the integrity of the markets
C. An unreasonable departure from the standards expected of a Regulated Person is acceptable in isolated situations
D. Disclosure of complex investment risks can be withheld if to disclose could be detrimental to the firm's interests
Question 3
What type of trading involves the use of algorithms to execute orders?
A. Trading strategies that are driven by market behaviours
B. Manual stock selection based on fundamental and technical analysis
C. Automated trading using mathematical models
D. Broker-executed trades based on dealer recommendations
Question 4
An Investment Dealer wants to set up and operate a new alternative trading system (ATS). What must they ensure to be compliant?
A. Secure Canadian Securities Administrators (CSA) recognition as a regulated marketplace
B. Limit trading to domestic securities
C. Notify the Financial Transactions and Reports Analysis Centre of Canada (FINTRAC) of all client transactions
D. Restrict ATS access to institutional investors
Question 5
Which method is typically used to calculate the value of most equity indices?
A. Adding stock prices of included companies divided by total number of companies
B. Adding dividend yields of included companies divided by total number of companies
C. Using a weighted average based on the market capitalization of each company
D. Using the median stock price of the included companies for index calculation
Solutions:
| Question 1 Answer: D | Question 2 Answer: A | Question 3 Answer: C | Question 4 Answer: A | Question 5 Answer: C |
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