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CIRO CIRE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Scope of client relationships | 15% | - Retail Investment Dealer services - Relationship disclosure - Investment performance benchmarks - Registered Representative role and client service - Institutional Investment Dealer services - Investment management styles and strategies - Account appropriateness - Clients residing in the United States and other foreign jurisdictions - Investment Representative role and client service - Product due diligence - Know-your-product requirements - Trust, agency and fiduciary duty - Institutional client sophistication and suitability exemptions - Client suitability determination - Escalation to subject matter experts - Suitability exemptions - Account appropriateness versus suitability |
| Topic 2: Market and company analysis | 8% | - Macroeconomic factors and policies - Technical and statistical analysis tools - Economic information and indicators - Company regulation, disclosure and investor rights - Industry performance analysis - Basic economic theories - Market theories and stock market behaviour - Company performance analysis - Macroeconomic effects on financial markets |
| Topic 3: Overview of Canadian securities regulatory framework | 10% | - Other investment industry regulators and agencies - Bank Act and Bankruptcy and Insolvency Act - Investment Dealer registration and individual approval requirements - Role and authority of the Canadian Securities Administrators and provincial/territorial securities and derivatives regulators - Clearing agencies - Anti-money laundering requirements - Criminal Code and financial crime - Marketplaces and trading venues - Canadian Investor Protection Fund - Confidentiality, privacy, anti-spam and shareholder rights legislation - Role and authority of the Canadian Investment Regulatory Organization |
| Topic 4: Prospective client relationships | 10% | - Costs, fees, turnover and taxes - Third parties and professional advisers - Investment Dealer onboarding process - Retail client information and risk profile - Client recordkeeping - Institutional client qualification - Account agreements and welcome documentation - Retail and institutional clients - Accredited investors and exemptions - Client relationship model |
| Topic 5: Derivatives | 5% | - Futures, forwards, swaps and contracts for difference - Derivative trading strategies - Prohibited derivative trading practices - Uses of derivatives - Transactional elements of futures and options - Options - Listed and over-the-counter derivatives markets - Derivative account administration |
| Topic 6: Market integrity, trade execution and settlement | 12% | - Derivative trading agreements - UMIR gatekeeping obligations - Universal Market Integrity Rules - Investment banking, research and corporate finance - Order types - Order entry, trade processing, settlement and delivery - Margin requirements - Order confirmation requirements - Reporting obligations - Order variations, cancellations and corrections - Account types - Gatekeeping for manipulative and deceptive practices |
| Topic 7: Conflicts of interest and ethics | 15% | - Information barriers and restricted lists - Managing conflicts of interest - Cybersecurity and confidential information - Ethical principles and standards of conduct - Personal financial dealings with clients - Positions of influence - Outside activities of Approved Persons - Conflict identification, avoidance, addressing and disclosure - CIRO and other ethical standards - Ethical and legal responsibilities to clients - Client confidentiality - Ethics and regulatory rules |
| Topic 8: Client complaint handling and reporting | 5% | - Investment Dealer obligations to clients - Investment Dealer complaint reporting obligations - Settlement agreements with clients - CIRO and provincial regulator roles in complaint handling - Client issues and potential liability - Complaint policies, procedures and recordkeeping - Client recourse options |
| Topic 9: Securities, managed products, mutual funds and other investments | 19% | - Pooled products - Market indices - Equities - Managed product investment considerations - Equity investment considerations - Fixed income securities and products - Other investments - Mutual funds - Exchange-traded funds - Fixed income investment considerations - Asset classes - Managed products |
CIRO Canadian Investment Regulatory Sample Questions:
1. Which of the following best defines the main objective of fundamental analysis in relation to stock market behavior?
A) To identify stock price movements based on technical chart patterns
B) To predict short-term price movements based on market sentiment
C) To evaluate a company's financial health and intrinsic value
D) To analyze historical stock prices to forecast future trends
2. 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) Accepting non-monetary consideration in return for priority treatment
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) Borrowing from a client's firm whose normal course of business includes lending money
3. What is the purpose of the Canadian Anti-Spam Legislation (CASL)?
A) To ensure compliance with privacy law in email communications
B) To regulate the use of electronic signatures
C) To block unsolicited commercial messages without consent
D) To oversee securities-related email marketing campaigns
4. Which is the best definition of a Registered Representative (RR)?
A) An individual approved by the Canadian Investment Regulatory Organization (CIRO) authorized to trade or advise on securities, options and futures
B) An individual approved by CIRO to trade but not advise on securities, options and futures contracts
C) An organization approved by CIRO authorized to trade or advise on securities, options and futures
D) An individual approved by CIRO authorized to trade or advise on securities, options and futures
5. A Registered Representative (RR) determines that an investment strategy is not suitable for a retail client. The client decides that they want to invest anyway. Which of the following should the RR do?
A) Report the request as an unacceptable trade
B) Refuse to undertake the investment strategy
C) Recommend an alternative action that is suitable
D) Seek advice from a self-regulatory authority
Solutions:
| Question # 1 Answer: C | Question # 2 Answer: A | Question # 3 Answer: C | Question # 4 Answer: A | Question # 5 Answer: C |
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