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CIRO CIRE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Market integrity, trade execution and settlement | 12% | - Universal Market Integrity Rules - Order confirmation requirements - UMIR gatekeeping obligations - Gatekeeping requirements for manipulative and deceptive practices, unacceptable activities and front running - Functions of investment banking, research and corporate finance - Reporting obligations to firms and regulators - Margin requirements - Order entry, trade management, settlement and delivery - Specialized trading agreements for derivative accounts - Features of different account types - Features of different order types - Order variations, cancellations and corrections |
| Derivatives | 5% | - Basic uses of derivatives - Features of options contract types - Administrative requirements for derivative trading with clients - Basic transactional elements of futures and options - Listed versus over-the-counter derivative markets - Prohibited derivative trading practices - Features of other derivative contract types - Single and multi-legged derivative trading strategies |
| Conflicts of interest and ethics | 15% | - Importance of ethics and its relationship to rules - Client confidentiality policies and procedures - Inappropriate or prohibited personal financial dealings with clients - Importance of managing conflicts of interest - Ethical principles and standards of conduct for Approved Persons and Investment Dealers - Requirements regarding positions of influence - Conflicts of interest management process - Activities outside an Investment Dealer - CIRO and other ethical standards of conduct - Role of cybersecurity in protecting confidential information - Information controls, barriers, firewalls and restricted lists - Ethical and legal responsibilities to clients |
| Prospective client relationships | 10% | - Third parties and other professionals in the client's life - Investment Dealer onboarding process - Impact of fees, turnover and taxes on investment returns - Required account agreement and Firm Welcome package documents - Role of cost in product selection - Client record documentation, filing and maintenance - Differences between retail and institutional clients - Retail client information collection - Client relationship model - Exemptions under National Instrument 45-106 - Institutional client qualification requirements |
| Overview of Canadian securities regulatory framework | 10% | - Other applicable laws including confidentiality, privacy, anti-spam, company disclosure and shareholder rights - Criminal Code and its application to financial crime - Anti-money laundering and anti-terrorist financing legislation and regulations - Investment Dealer registration and individual approval requirements - Function and purpose of investment industry marketplaces - Role and authority of the Canadian Securities Administrators and provincial and territorial securities and derivatives regulators - Function and purpose of clearing agencies - Purpose and implications of the Bank Act and Bankruptcy and Insolvency Act - Role and authority of the Canadian Investment Regulatory Organization - Function and purpose of other investment industry regulators and agencies - Function and purpose of the Canadian Investor Protection Fund |
| Client complaint handling and reporting | 5% | - Role of CIRO and provincial regulators in the complaints handling framework - Investment Dealer obligations to clients - Potential client issues, liability and consequences - Recourse available to dissatisfied clients - Investment Dealer complaint reporting obligations and penalties - Policies and procedures for reporting, handling and maintaining complaint records - Prohibited practices in client settlement agreements |
| Securities, managed products, mutual funds and other investments | 19% | - Considerations affecting managed product investors - Considerations affecting exchange-traded fund investors - Considerations affecting equity investors and potential shareholders - Types of pooled products - Other investments including hedge funds, structured products, alternative investment funds, crypto assets and ESG-related products - Features, risks and returns of managed products - Types, features, risks and returns of equities - Considerations affecting fixed income investors - Types, features, risks and returns of fixed income securities and products - Asset classes generally sold and traded at an Investment Dealer - Considerations affecting mutual fund investors - Purpose and uses of market indices |
| Scope of client relationships | 15% | - Exemptions from suitability determination requirements - Internal escalation procedures and subject matter experts - Typical services provided by retail Investment Dealers - Systematic approaches to investment management and investment strategies - Account appropriateness obligations - Investment performance benchmarks - Trust, agency and fiduciary duty - Purpose and content of relationship disclosure - Product due diligence obligations - Requirements for working with clients in the United States and other foreign jurisdictions - Institutional client sophistication assessment and suitability exemptions - Know-your-product obligations - Role of the Registered Representative in providing client service - Typical services provided by institutional Investment Dealers - Suitability determination requirements for retail clients - Role of the Investment Representative in providing client service - Account appropriateness versus suitability determination |
| Market and company analysis | 8% | - Rules relating to companies - Technical and statistical analysis tools and information sources - Economic indicators and sources of information - Basic market theories and stock market behaviour - Factors influencing the macroeconomy - Basic economic theories - Company performance analysis tools - Effects of macroeconomic factors on financial markets - Industry performance analysis |
CIRO Canadian Investment Regulatory Sample Questions:
Question #1
How does the Relative Strength Index (RSI) help investors assess market conditions?
A. It evaluates the price-to-earnings (P/E) ratio of a stock to determine its market value
B. It indicates whether a stock is overbought or oversold, signaling possible trend reversals
C. It analyzes the company's quarterly earnings to forecast future stock prices
D. It measures the volatility of a stock by comparing its high and low prices
Question #2
When an employee of an Investment Dealer engages in an outside business activity what must they do?
A. Obtain prior written consent of the Investment Dealer
B. Be independently responsible for monitoring and compliance enforcement
C. Only recommend products and services offered by the Investment Dealer
D. Ensure it is closely aligned with their duties to the Investment Dealer
Question #3
Which of the following scenarios best illustrates the use of derivatives for risk management through hedging?
A. An investor buys call options on a stock, anticipating its price will rise in the near future
B. A trader enters into a speculative futures contract to capitalize on anticipated price movements in crude oil
C. A company purchases a forward contract to lock in a fixed exchange rate for a future international transaction
D. A hedge fund uses leverage in derivatives to amplify potential returns in its portfolio
Question #4
Which of the following best describes the key difference between a call option and a put option in an options contract?
A. A call option allows the holder to buy, while a put option allows the holder to sell, at a fixed price
B. A call option gives the holder the right to sell an asset; a put option allows buying at market price
C. A call option buys at a fixed price; a put option gives the holder rights to future dividends
D. A call option lets the holder sell, and a put option lets the holder buy, an asset at a set price
Question #5
Canadian Registered Representatives (RRs) providing investment advice to U.S. clients may need to do which of the following?
A. Provide the relationship disclosure to the client within 5 business days
B. Rely solely on Canadian registration and exemptions to advise U.S. clients
C. Register with the U.S. Securities Exchange Commission or state authorities
D. Restrict advice to U.S. clients only to Canadian securities and avoid U.S. products
Solutions:
| Question #1 Correct Answer: B | Question #2 Correct Answer: A | Question #3 Correct Answer: C | Question #4 Correct Answer: A | Question #5 Correct Answer: C |
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