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CIRO CIRE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Market and company analysis | 8% | - Company performance analysis - Macroeconomic effects on financial markets - Basic economic theories - Market theories and stock market behaviour - Technical and statistical analysis tools - Economic information and indicators - Company regulation, disclosure and investor rights - Industry performance analysis - Macroeconomic factors and policies |
| Market integrity, trade execution and settlement | 12% | - Order confirmation requirements - Investment banking, research and corporate finance - Derivative trading agreements - Account types - UMIR gatekeeping obligations - Order types - Gatekeeping for manipulative and deceptive practices - Universal Market Integrity Rules - Margin requirements - Reporting obligations - Order entry, trade processing, settlement and delivery - Order variations, cancellations and corrections |
| Securities, managed products, mutual funds and other investments | 19% | - Managed product investment considerations - Exchange-traded funds - Fixed income investment considerations - Fixed income securities and products - Mutual funds - Other investments - Pooled products - Asset classes - Market indices - Managed products - Equities - Equity investment considerations |
| Prospective client relationships | 10% | - Account agreements and welcome documentation - Client recordkeeping - Retail client information and risk profile - Institutional client qualification - Accredited investors and exemptions - Retail and institutional clients - Investment Dealer onboarding process - Client relationship model - Costs, fees, turnover and taxes - Third parties and professional advisers |
| Derivatives | 5% | - Derivative account administration - Transactional elements of futures and options - Derivative trading strategies - Prohibited derivative trading practices - Uses of derivatives - Options - Futures, forwards, swaps and contracts for difference - Listed and over-the-counter derivatives markets |
| Scope of client relationships | 15% | - Relationship disclosure - Product due diligence - Investment performance benchmarks - Escalation to subject matter experts - Account appropriateness - Investment management styles and strategies - Retail Investment Dealer services - Investment Representative role and client service - Account appropriateness versus suitability - Client suitability determination - Suitability exemptions - Know-your-product requirements - Clients residing in the United States and other foreign jurisdictions - Trust, agency and fiduciary duty - Institutional client sophistication and suitability exemptions - Institutional Investment Dealer services - Registered Representative role and client service |
| Client complaint handling and reporting | 5% | - Investment Dealer obligations to clients - Complaint policies, procedures and recordkeeping - Client issues and potential liability - Investment Dealer complaint reporting obligations - CIRO and provincial regulator roles in complaint handling - Client recourse options - Settlement agreements with clients |
| Overview of Canadian securities regulatory framework | 10% | - Other investment industry regulators and agencies - Canadian Investor Protection Fund - Clearing agencies - Confidentiality, privacy, anti-spam and shareholder rights legislation - Bank Act and Bankruptcy and Insolvency Act - Role and authority of the Canadian Investment Regulatory Organization - Role and authority of the Canadian Securities Administrators and provincial/territorial securities and derivatives regulators - Marketplaces and trading venues - Investment Dealer registration and individual approval requirements - Criminal Code and financial crime - Anti-money laundering requirements |
| Conflicts of interest and ethics | 15% | - Conflict identification, avoidance, addressing and disclosure - Ethical principles and standards of conduct - Ethics and regulatory rules - Personal financial dealings with clients - Ethical and legal responsibilities to clients - Managing conflicts of interest - Information barriers and restricted lists - Positions of influence - Cybersecurity and confidential information - Outside activities of Approved Persons - Client confidentiality - CIRO and other ethical standards |
CIRO Canadian Investment Regulatory Sample Questions:
A risk-averse investor is considering investing in preferred shares. What is one key feature of preferred shares that may appeal to such investors?
- A. Preferred shares guarantee the highest potential for capital gains among all equity investments
- B. Preferred shares offer no risk of dividend suspension under any market conditions
- C. Preferred shares typically pay fixed dividends and provide significant voting rights to shareholders
- D. Preferred shares provide fixed dividends and have a priority claim on company assets over common shares
Correct Answer: D 🗳️
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Which of the following scenarios best illustrates the use of derivatives for risk management through hedging?
- A. A hedge fund uses leverage in derivatives to amplify potential returns in its portfolio
- B. An investor buys call options on a stock, anticipating its price will rise in the near future
- C. A company purchases a forward contract to lock in a fixed exchange rate for a future international transaction
- D. A trader enters into a speculative futures contract to capitalize on anticipated price movements in crude oil
Correct Answer: C 🗳️
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Why is it important for an Investment Representative (IR) to apply ethical principles when providing information to clients?
- A. They ensure relevant rules governing the information are followed
- B. They provide additional standards to augment the rules
- C. They ensure the client is satisfied with the information provided
- D. They provide alternative standards to replace the rules
Correct Answer: B 🗳️
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An Investment Representative (IR) executes a trade for a client and must confirm the details of the trade, including any associated fees and commissions. When should this confirmation be sent to the client?
- A. Promptly after the trade is executed
- B. Confirmations are not required
- C. Immediately before the trade is executed
- D. One day after the settlement date
Correct Answer: A 🗳️
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If reasonably foreseeable material conflicts of interest cannot be avoided, an Investment Dealer must ensure which of the following?
- A. Address in the best interest of the client and disclose in a timely manner
- B. Address in the best interest of the client with no disclosure requirement
- C. Present options to the client before any action is taken
- D. Address in the best interest of the client and disclose during an annual review
Correct Answer: A 🗳️
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