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CIRO CIRE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Conflicts of interest and ethics | 15% | - Importance of ethics and its relationship to rules - Inappropriate or prohibited personal financial dealings with clients - Client confidentiality policies and procedures - Activities outside an Investment Dealer - Role of cybersecurity in protecting confidential information - Information controls, barriers, firewalls and restricted lists - CIRO and other ethical standards of conduct - 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 - Ethical and legal responsibilities to clients |
| Market integrity, trade execution and settlement | 12% | - Gatekeeping requirements for manipulative and deceptive practices, unacceptable activities and front running - Functions of investment banking, research and corporate finance - Order entry, trade management, settlement and delivery - Order confirmation requirements - Specialized trading agreements for derivative accounts - Features of different order types - UMIR gatekeeping obligations - Margin requirements - Order variations, cancellations and corrections - Features of different account types - Reporting obligations to firms and regulators - Universal Market Integrity Rules |
| Client complaint handling and reporting | 5% | - Investment Dealer obligations to clients - Role of CIRO and provincial regulators in the complaints handling framework - Prohibited practices in client settlement agreements - Recourse available to dissatisfied clients - Potential client issues, liability and consequences - Investment Dealer complaint reporting obligations and penalties - Policies and procedures for reporting, handling and maintaining complaint records |
| Prospective client relationships | 10% | - Investment Dealer onboarding process - Differences between retail and institutional clients - Third parties and other professionals in the client's life - Required account agreement and Firm Welcome package documents - Client record documentation, filing and maintenance - Retail client information collection - Impact of fees, turnover and taxes on investment returns - Role of cost in product selection - Exemptions under National Instrument 45-106 - Institutional client qualification requirements - Client relationship model |
| Scope of client relationships | 15% | - Role of the Registered Representative in providing client service - Exemptions from suitability determination requirements - Role of the Investment Representative in providing client service - Requirements for working with clients in the United States and other foreign jurisdictions - Account appropriateness obligations - Investment performance benchmarks - Internal escalation procedures and subject matter experts - Institutional client sophistication assessment and suitability exemptions - Product due diligence obligations - Know-your-product obligations - Account appropriateness versus suitability determination - Purpose and content of relationship disclosure - Trust, agency and fiduciary duty - Typical services provided by institutional Investment Dealers - Typical services provided by retail Investment Dealers - Suitability determination requirements for retail clients - Systematic approaches to investment management and investment strategies |
| Securities, managed products, mutual funds and other investments | 19% | - Types of pooled products - Considerations affecting fixed income investors - Types, features, risks and returns of equities - Types, features, risks and returns of fixed income securities and products - Considerations affecting exchange-traded fund investors - Considerations affecting equity investors and potential shareholders - Features, risks and returns of managed products - Purpose and uses of market indices - Considerations affecting mutual fund investors - Other investments including hedge funds, structured products, alternative investment funds, crypto assets and ESG-related products - Asset classes generally sold and traded at an Investment Dealer - Considerations affecting managed product investors |
| Derivatives | 5% | - Basic uses of derivatives - Single and multi-legged derivative trading strategies - Features of other derivative contract types - Administrative requirements for derivative trading with clients - Prohibited derivative trading practices - Features of options contract types - Listed versus over-the-counter derivative markets - Basic transactional elements of futures and options |
| Overview of Canadian securities regulatory framework | 10% | - Function and purpose of the Canadian Investor Protection Fund - Criminal Code and its application to financial crime - Role and authority of the Canadian Securities Administrators and provincial and territorial securities and derivatives regulators - Function and purpose of other investment industry regulators and agencies - Anti-money laundering and anti-terrorist financing legislation and regulations - Other applicable laws including confidentiality, privacy, anti-spam, company disclosure and shareholder rights - Role and authority of the Canadian Investment Regulatory Organization - Function and purpose of investment industry marketplaces - Purpose and implications of the Bank Act and Bankruptcy and Insolvency Act - Function and purpose of clearing agencies - Investment Dealer registration and individual approval requirements |
| Market and company analysis | 8% | - Economic indicators and sources of information - Technical and statistical analysis tools and information sources - Industry performance analysis - Rules relating to companies - Basic market theories and stock market behaviour - Basic economic theories - Effects of macroeconomic factors on financial markets - Company performance analysis tools - Factors influencing the macroeconomy |
CIRO Canadian Investment Regulatory Sample Questions:
When assessing client suitability, what is the difference between risk tolerance and risk capacity?
- A. Risk tolerance is the client's preferred risk level. Risk capacity is the willingness to accept risk
- B. Risk tolerance is the willingness to accept risk. Risk capacity is the ability to endure financial loss
- C. Risk tolerance is the ability to endure financial loss. Risk capacity is willingness to accept risk
- D. Risk tolerance is the ability to endure financial loss. Risk capacity is the client's preferred risk level
Correct Answer: B 🗳️
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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 typically pay fixed dividends and provide significant voting rights to shareholders
- C. Preferred shares provide fixed dividends and have a priority claim on company assets over common shares
- D. Preferred shares offer no risk of dividend suspension under any market conditions
Correct Answer: C 🗳️
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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
Correct Answer: B 🗳️
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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
Correct Answer: A 🗳️
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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. Do nothing as the recommendation is not binding
- D. Make a public statement about the Investment Dealer
Correct Answer: D 🗳️
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