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CIRO CIRE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Prospective client relationships | 10% | - Impact of fees, turnover and taxes on investment returns - Third parties and other professionals in the client's life - Role of cost in product selection - Client record documentation, filing and maintenance - Differences between retail and institutional clients - Exemptions under National Instrument 45-106 - Required account agreement and Firm Welcome package documents - Institutional client qualification requirements - Retail client information collection - Investment Dealer onboarding process - Client relationship model |
| Overview of Canadian securities regulatory framework | 10% | - Anti-money laundering and anti-terrorist financing legislation and regulations - Purpose and implications of the Bank Act and Bankruptcy and Insolvency Act - Other applicable laws including confidentiality, privacy, anti-spam, company disclosure and shareholder rights - Function and purpose of investment industry marketplaces - Role and authority of the Canadian Securities Administrators and provincial and territorial securities and derivatives regulators - Investment Dealer registration and individual approval requirements - Function and purpose of other investment industry regulators and agencies - Role and authority of the Canadian Investment Regulatory Organization - Criminal Code and its application to financial crime - Function and purpose of the Canadian Investor Protection Fund - Function and purpose of clearing agencies |
| Market integrity, trade execution and settlement | 12% | - Specialized trading agreements for derivative accounts - Order variations, cancellations and corrections - Margin requirements - Universal Market Integrity Rules - Features of different order types - UMIR gatekeeping obligations - Order confirmation requirements - Reporting obligations to firms and regulators - Functions of investment banking, research and corporate finance - Features of different account types - Order entry, trade management, settlement and delivery - Gatekeeping requirements for manipulative and deceptive practices, unacceptable activities and front running |
| Conflicts of interest and ethics | 15% | - Ethical and legal responsibilities to clients - Inappropriate or prohibited personal financial dealings with clients - Role of cybersecurity in protecting confidential information - Conflicts of interest management process - Information controls, barriers, firewalls and restricted lists - Importance of ethics and its relationship to rules - Client confidentiality policies and procedures - Requirements regarding positions of influence - CIRO and other ethical standards of conduct - Ethical principles and standards of conduct for Approved Persons and Investment Dealers - Importance of managing conflicts of interest - Activities outside an Investment Dealer |
| Derivatives | 5% | - Basic transactional elements of futures and options - Basic uses of derivatives - Listed versus over-the-counter derivative markets - Prohibited derivative trading practices - Features of other derivative contract types - Single and multi-legged derivative trading strategies - Administrative requirements for derivative trading with clients - Features of options contract types |
| Securities, managed products, mutual funds and other investments | 19% | - Considerations affecting fixed income investors - Types, features, risks and returns of equities - Asset classes generally sold and traded at an Investment Dealer - Considerations affecting mutual fund investors - Types of pooled products - Features, risks and returns of managed products - Purpose and uses of market indices - Considerations affecting managed product investors - Considerations affecting equity investors and potential shareholders - Considerations affecting exchange-traded fund investors - Types, features, risks and returns of fixed income securities and products - Other investments including hedge funds, structured products, alternative investment funds, crypto assets and ESG-related products |
| Market and company analysis | 8% | - Technical and statistical analysis tools and information sources - Effects of macroeconomic factors on financial markets - Economic indicators and sources of information - Basic economic theories - Company performance analysis tools - Basic market theories and stock market behaviour - Industry performance analysis - Factors influencing the macroeconomy - Rules relating to companies |
| Client complaint handling and reporting | 5% | - Role of CIRO and provincial regulators in the complaints handling framework - Recourse available to dissatisfied clients - Investment Dealer complaint reporting obligations and penalties - Prohibited practices in client settlement agreements - Investment Dealer obligations to clients - Policies and procedures for reporting, handling and maintaining complaint records - Potential client issues, liability and consequences |
| Scope of client relationships | 15% | - Typical services provided by institutional Investment Dealers - Know-your-product obligations - Exemptions from suitability determination requirements - Typical services provided by retail Investment Dealers - Account appropriateness obligations - Systematic approaches to investment management and investment strategies - Purpose and content of relationship disclosure - Role of the Investment Representative in providing client service - Internal escalation procedures and subject matter experts - Trust, agency and fiduciary duty - Requirements for working with clients in the United States and other foreign jurisdictions - Investment performance benchmarks - Role of the Registered Representative in providing client service - Product due diligence obligations - Institutional client sophistication assessment and suitability exemptions - Account appropriateness versus suitability determination - Suitability determination requirements for retail clients |
CIRO Canadian Investment Regulatory Sample Questions:
An Investment Dealer wants to set up and operate a new alternative trading system (ATS). What must they ensure to be compliant?
- A. Notify the Financial Transactions and Reports Analysis Centre of Canada (FINTRAC) of all client transactions
- B. Secure Canadian Securities Administrators (CSA) recognition as a regulated marketplace
- C. Limit trading to domestic securities
- D. Restrict ATS access to institutional investors
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An investment firm discovers a minor clerical error that caused a discrepancy in client transaction records. What is the most appropriate action under Investment Dealer and Partially Consolidated (IDPC) rules?
- A. Correct the error and report the discrepancy to the Canadian Securities Administrators (CSA)
- B. Report the issue to the federal anti-money laundering agency and restrict accounts
- C. Document the discrepancy for internal audit and address it during review
- D. Correct the error immediately and notify the client of the change
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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. Accepting non-monetary consideration in return for priority treatment
- D. Acting as Power of Attorney where the client is a Related Person
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Which of the following is a key feature of government bonds?
- A. Government bonds typically have a high level of credit risk due to the issuer's potential for default
- B. Government bonds offer a fixed rate of return paid periodically, with the principal repaid at maturity
- C. Government bonds do not have an expiration date, and investors can hold them indefinitely
- D. Government bonds are considered speculative investments due to their fluctuating interest rates
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The Ombudsman for Banking Services and Investments (OBSI) has recommended that a firm compensate a client. If the firm refuses to comply, what action can OBSI take?
- A. Revoke the Investment Dealer's registration
- B. Enforce the recommendation via the Canadian courts
- C. Make a public statement about the Investment Dealer
- D. Do nothing as the recommendation is not binding
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