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CIRO CIRE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Client complaint handling and reporting | 5% | - Client issues and potential liability - CIRO and provincial regulator roles in complaint handling - Client recourse options - Investment Dealer complaint reporting obligations - Complaint policies, procedures and recordkeeping - Settlement agreements with clients - Investment Dealer obligations to clients |
| Topic 2: Overview of Canadian securities regulatory framework | 10% | - Role and authority of the Canadian Investment Regulatory Organization - Marketplaces and trading venues - Criminal Code and financial crime - Canadian Investor Protection Fund - Anti-money laundering requirements - Investment Dealer registration and individual approval requirements - Clearing agencies - Role and authority of the Canadian Securities Administrators and provincial/territorial securities and derivatives regulators - Other investment industry regulators and agencies - Bank Act and Bankruptcy and Insolvency Act - Confidentiality, privacy, anti-spam and shareholder rights legislation |
| Topic 3: Prospective client relationships | 10% | - Costs, fees, turnover and taxes - Third parties and professional advisers - Investment Dealer onboarding process - Retail client information and risk profile - Accredited investors and exemptions - Retail and institutional clients - Institutional client qualification - Client recordkeeping - Client relationship model - Account agreements and welcome documentation |
| Topic 4: Market and company analysis | 8% | - Economic information and indicators - Company performance analysis - Macroeconomic factors and policies - Market theories and stock market behaviour - Technical and statistical analysis tools - Industry performance analysis - Basic economic theories - Company regulation, disclosure and investor rights - Macroeconomic effects on financial markets |
| Topic 5: Market integrity, trade execution and settlement | 12% | - Account types - Derivative trading agreements - Order entry, trade processing, settlement and delivery - UMIR gatekeeping obligations - Universal Market Integrity Rules - Reporting obligations - Investment banking, research and corporate finance - Order variations, cancellations and corrections - Margin requirements - Gatekeeping for manipulative and deceptive practices - Order types - Order confirmation requirements |
| Topic 6: Scope of client relationships | 15% | - Relationship disclosure - Retail Investment Dealer services - Account appropriateness versus suitability - Institutional Investment Dealer services - Investment Representative role and client service - Escalation to subject matter experts - Product due diligence - Trust, agency and fiduciary duty - Registered Representative role and client service - Account appropriateness - Investment management styles and strategies - Investment performance benchmarks - Know-your-product requirements - Client suitability determination - Suitability exemptions - Institutional client sophistication and suitability exemptions - Clients residing in the United States and other foreign jurisdictions |
| Topic 7: Derivatives | 5% | - Listed and over-the-counter derivatives markets - Options - Transactional elements of futures and options - Futures, forwards, swaps and contracts for difference - Prohibited derivative trading practices - Derivative trading strategies - Derivative account administration - Uses of derivatives |
| Topic 8: Securities, managed products, mutual funds and other investments | 19% | - Fixed income securities and products - Exchange-traded funds - Pooled products - Managed products - Managed product investment considerations - Asset classes - Other investments - Equity investment considerations - Mutual funds - Market indices - Fixed income investment considerations - Equities |
| Topic 9: Conflicts of interest and ethics | 15% | - Ethics and regulatory rules - CIRO and other ethical standards - Outside activities of Approved Persons - Information barriers and restricted lists - Positions of influence - Cybersecurity and confidential information - Ethical and legal responsibilities to clients - Personal financial dealings with clients - Managing conflicts of interest - Ethical principles and standards of conduct - Client confidentiality - Conflict identification, avoidance, addressing and disclosure |
CIRO Canadian Investment Regulatory Sample Questions:
1. Why is it important for an Investment Representative (IR) to apply ethical principles when providing information to clients?
A) They ensure the client is satisfied with the information provided
B) They ensure relevant rules governing the information are followed
C) They provide alternative standards to replace the rules
D) They provide additional standards to augment the rules
2. Under CIRO rules, which of the following must an exchange-traded fund (ETF) disclose to potential investors before they invest?
A) The personal investment goals of the fund manager
B) A summary of the ETF's tax implications on dividends and capital gains
C) The names of all underlying assets in the ETF
D) The ETF's investment strategy, risks, and fees
3. 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 regulate the conduct of individual Investment Dealers on ATS platforms
C) To ensure ATS platforms comply with securities laws and maintain transparency
D) To manage the clearing and settlement of trades executed on ATS
4. What is the Investment Dealer's obligation regarding cost discussions for deferred sales charge products?
A) Disclose the deferred charges when they are going to be triggered
B) Explain upfront the potential charges triggered by early redemption
C) Avoid discussing deferred charges as they are managed by the fund provider
D) Deferred sales charges only apply to institutional clients
5. Once the know-your-client (KYC) information has been collected what should an Investment Dealer do with that information?
A) Take reasonable steps to have the client confirm the accuracy of the information
B) Require the client to sign a certification that the KYC information is complete and true
C) Review the information and then destroy it to comply with data retention rules
D) Ensure the information is accurate and complete through its own verification
Solutions:
| Question # 1 Answer: D | Question # 2 Answer: D | Question # 3 Answer: C | Question # 4 Answer: B | Question # 5 Answer: A |
