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CIRO CIRE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Securities, managed products, mutual funds and other investments | 19% | - Other investments - Equities - Equity investment considerations - Exchange-traded funds - Fixed income investment considerations - Managed products - Market indices - Mutual funds - Managed product investment considerations - Fixed income securities and products - Asset classes - Pooled products |
| Topic 2: Conflicts of interest and ethics | 15% | - Conflict identification, avoidance, addressing and disclosure - CIRO and other ethical standards - Ethical and legal responsibilities to clients - Outside activities of Approved Persons - Ethical principles and standards of conduct - Ethics and regulatory rules - Client confidentiality - Cybersecurity and confidential information - Managing conflicts of interest - Personal financial dealings with clients - Positions of influence - Information barriers and restricted lists |
| Topic 3: Scope of client relationships | 15% | - Suitability exemptions - Account appropriateness - Investment management styles and strategies - Relationship disclosure - Clients residing in the United States and other foreign jurisdictions - Retail Investment Dealer services - Product due diligence - Institutional Investment Dealer services - Know-your-product requirements - Trust, agency and fiduciary duty - Investment Representative role and client service - Institutional client sophistication and suitability exemptions - Account appropriateness versus suitability - Registered Representative role and client service - Escalation to subject matter experts - Investment performance benchmarks - Client suitability determination |
| Topic 4: Market and company analysis | 8% | - Market theories and stock market behaviour - Macroeconomic factors and policies - Basic economic theories - Technical and statistical analysis tools - Industry performance analysis - Economic information and indicators - Company regulation, disclosure and investor rights - Company performance analysis - Macroeconomic effects on financial markets |
| Topic 5: Overview of Canadian securities regulatory framework | 10% | - Confidentiality, privacy, anti-spam and shareholder rights legislation - Anti-money laundering requirements - Investment Dealer registration and individual approval requirements - Role and authority of the Canadian Securities Administrators and provincial/territorial securities and derivatives regulators - Canadian Investor Protection Fund - Bank Act and Bankruptcy and Insolvency Act - Role and authority of the Canadian Investment Regulatory Organization - Criminal Code and financial crime - Other investment industry regulators and agencies - Marketplaces and trading venues - Clearing agencies |
| Topic 6: Client complaint handling and reporting | 5% | - Client issues and potential liability - Settlement agreements with clients - Investment Dealer complaint reporting obligations - CIRO and provincial regulator roles in complaint handling - Client recourse options - Investment Dealer obligations to clients - Complaint policies, procedures and recordkeeping |
| Topic 7: Prospective client relationships | 10% | - Retail and institutional clients - Client relationship model - Retail client information and risk profile - Client recordkeeping - Accredited investors and exemptions - Account agreements and welcome documentation - Institutional client qualification - Costs, fees, turnover and taxes - Third parties and professional advisers - Investment Dealer onboarding process |
| Topic 8: Derivatives | 5% | - Options - Futures, forwards, swaps and contracts for difference - Listed and over-the-counter derivatives markets - Derivative account administration - Uses of derivatives - Transactional elements of futures and options - Derivative trading strategies - Prohibited derivative trading practices |
| Topic 9: Market integrity, trade execution and settlement | 12% | - Universal Market Integrity Rules - Account types - Order types - Order entry, trade processing, settlement and delivery - UMIR gatekeeping obligations - Investment banking, research and corporate finance - Gatekeeping for manipulative and deceptive practices - Margin requirements - Order variations, cancellations and corrections - Order confirmation requirements - Reporting obligations - Derivative trading agreements |
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. Act on the information to the benefit of their clients
B. Share the information with trusted colleagues for advice
C. Do not act and retain confidentiality to protect the source
D. Refrain from using the information and report to compliance
Question 2
An investor wants to buy $50,000 worth of stock using margin. Their Registered Representative (RR) explains the regulatory requirements for margin to them. Why is it necessary to have margin requirements?
A. To allow investors to trade higher-risk securities without additional funding
B. To enable clients to maximize their investment returns using borrowed funds
C. To ensure the dealer earns more commission from larger leveraged trades
D. To reduce risk by ensuring investors have sufficient capital for losses
Question 3
When must costs associated with an investment product be disclosed to a client?
A. Disclosure of costs is optional if the product exceeds its benchmark
B. During the initial onboarding process and when recommending products
C. Only when the client requests specific information about costs
D. In the transaction confirmation after the product has been purchased
Question 4
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. Acting as Power of Attorney where the client is a Related Person
B. Accepting non-monetary consideration in return for priority treatment
C. Borrowing from a client whose normal course of business includes lending money
D. Borrowing from a client's firm whose normal course of business includes lending money
Question 5
A shareholder in Canada receives a dividend payment from a Canadian corporation. Which of the following best describes how dividends are typically received in Canada?
A. Dividends are paid directly to the shareholder's bank or brokerage account
B. Dividends are declared and distributed after shareholders submit a claim of dividend
C. Dividends are automatically reinvested unless the shareholder opts out
D. Dividends are paid in a combination of stock and cash, where shareholders decide case by case
Solutions:
| Question 1 Answer: D | Question 2 Answer: D | Question 3 Answer: B | Question 4 Answer: B | Question 5 Answer: A |
