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CIRO CIRE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Market integrity, trade execution and settlement | 12% | - Order variations, cancellations and corrections - Investment banking, research and corporate finance - Account types - Reporting obligations - Gatekeeping for manipulative and deceptive practices - Order confirmation requirements - Derivative trading agreements - Order entry, trade processing, settlement and delivery - UMIR gatekeeping obligations - Margin requirements - Universal Market Integrity Rules - Order types |
| Topic 2: Client complaint handling and reporting | 5% | - Client issues and potential liability - Investment Dealer complaint reporting obligations - CIRO and provincial regulator roles in complaint handling - Investment Dealer obligations to clients - Complaint policies, procedures and recordkeeping - Client recourse options - Settlement agreements with clients |
| Topic 3: Overview of Canadian securities regulatory framework | 10% | - Investment Dealer registration and individual approval requirements - Canadian Investor Protection Fund - Role and authority of the Canadian Securities Administrators and provincial/territorial securities and derivatives regulators - Confidentiality, privacy, anti-spam and shareholder rights legislation - Anti-money laundering requirements - Role and authority of the Canadian Investment Regulatory Organization - Criminal Code and financial crime - Clearing agencies - Other investment industry regulators and agencies - Marketplaces and trading venues - Bank Act and Bankruptcy and Insolvency Act |
| Topic 4: Conflicts of interest and ethics | 15% | - Conflict identification, avoidance, addressing and disclosure - Personal financial dealings with clients - Client confidentiality - Cybersecurity and confidential information - CIRO and other ethical standards - Ethical and legal responsibilities to clients - Managing conflicts of interest - Information barriers and restricted lists - Ethical principles and standards of conduct - Positions of influence - Outside activities of Approved Persons - Ethics and regulatory rules |
| Topic 5: Scope of client relationships | 15% | - Registered Representative role and client service - Clients residing in the United States and other foreign jurisdictions - Investment Representative role and client service - Client suitability determination - Institutional client sophistication and suitability exemptions - Relationship disclosure - Suitability exemptions - Retail Investment Dealer services - Know-your-product requirements - Account appropriateness versus suitability - Escalation to subject matter experts - Investment performance benchmarks - Trust, agency and fiduciary duty - Account appropriateness - Investment management styles and strategies - Product due diligence - Institutional Investment Dealer services |
| Topic 6: Securities, managed products, mutual funds and other investments | 19% | - Mutual funds - Managed products - Equities - Asset classes - Other investments - Exchange-traded funds - Pooled products - Fixed income investment considerations - Managed product investment considerations - Equity investment considerations - Fixed income securities and products - Market indices |
| Topic 7: Market and company analysis | 8% | - Market theories and stock market behaviour - Technical and statistical analysis tools - Company regulation, disclosure and investor rights - Industry performance analysis - Company performance analysis - Macroeconomic effects on financial markets - Macroeconomic factors and policies - Economic information and indicators - Basic economic theories |
| Topic 8: Derivatives | 5% | - Derivative trading strategies - Listed and over-the-counter derivatives markets - Futures, forwards, swaps and contracts for difference - Uses of derivatives - Derivative account administration - Transactional elements of futures and options - Options - Prohibited derivative trading practices |
| Topic 9: Prospective client relationships | 10% | - Third parties and professional advisers - Investment Dealer onboarding process - Client relationship model - Client recordkeeping - Account agreements and welcome documentation - Institutional client qualification - Costs, fees, turnover and taxes - Retail client information and risk profile - Retail and institutional clients - Accredited investors and exemptions |
CIRO Canadian Investment Regulatory Sample Questions:
What impact do investor expectations about future interest rate changes typically have on the prices of fixed-income securities?
- A. Expectations about interest rates only affect the prices of equity markets, not fixed-income securities
- B. Expectations of rising interest rates generally increase the prices of fixed-income securities
- C. Expectations about interest rates have no impact on the prices of fixed-income securities
- D. Expectations of falling interest rates generally increase the prices of fixed-income securities
Correct Answer: D 🗳️
Explanation: Only visible for PassCollection members. You can sign-up / login (it's free).
An employee of an Investment Dealer may not, directly or indirectly, engage in any personal dealings with a client. Which of the following is considered a personal financial dealing?
- A. Borrowing from a client's firm whose normal course of business includes lending money
- B. Borrowing from a client whose normal course of business includes lending money
- C. Acting as Power of Attorney where the client is a Related Person
- D. Accepting non-monetary consideration in return for priority treatment
Correct Answer: D 🗳️
Explanation: Only visible for PassCollection members. You can sign-up / login (it's free).
Investment Dealers must provide relationship disclosure to which of the following types of clients?
- A. All clients except managed clients
- B. All clients except non-discretionary clients
- C. All clients except Institutional Clients
- D. All clients except Retail Clients
Correct Answer: C 🗳️
Explanation: Only visible for PassCollection members. You can sign-up / login (it's free).
A Registered Representative (RR) has delegated the collection of know-your-client (KYC) information to an Investment Representative (IR), who updates it every 12 months. Why does this process fail to meet the RR's regulatory obligations?
- A. The IR should update the information every six months
- B. The RR is not permitted to give investment advice
- C. The IR is not permitted to communicate with clients
- D. The RR should not delegate the collection of KYC information
Correct Answer: D 🗳️
Explanation: Only visible for PassCollection members. You can sign-up / login (it's free).
What is a potential risk associated with mutual fund corporations?
- A. Mutual fund corporations can invest in diversified portfolios freely
- B. Market volatility impacts the value of investments in the corporation
- C. Switching funds within the corporation generally does not trigger taxation
- D. Capital gains within the mutual fund corporation are taxed annually
Correct Answer: B 🗳️
Explanation: Only visible for PassCollection members. You can sign-up / login (it's free).
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