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CIRO CIRE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Prospective client relationships | 10% | - Client recordkeeping - Account agreements and welcome documentation - Retail client information and risk profile - Investment Dealer onboarding process - Institutional client qualification - Retail and institutional clients - Accredited investors and exemptions - Costs, fees, turnover and taxes - Third parties and professional advisers - Client relationship model |
| Client complaint handling and reporting | 5% | - Client issues and potential liability - Client recourse options - Investment Dealer obligations to clients - Investment Dealer complaint reporting obligations - Settlement agreements with clients - Complaint policies, procedures and recordkeeping - CIRO and provincial regulator roles in complaint handling |
| Overview of Canadian securities regulatory framework | 10% | - Marketplaces and trading venues - Criminal Code and financial crime - Clearing agencies - Anti-money laundering requirements - Confidentiality, privacy, anti-spam and shareholder rights legislation - Bank Act and Bankruptcy and Insolvency Act - Canadian Investor Protection Fund - Other investment industry regulators and agencies - Role and authority of the Canadian Investment Regulatory Organization - Investment Dealer registration and individual approval requirements - Role and authority of the Canadian Securities Administrators and provincial/territorial securities and derivatives regulators |
| Market and company analysis | 8% | - Market theories and stock market behaviour - Industry performance analysis - Macroeconomic factors and policies - Macroeconomic effects on financial markets - Economic information and indicators - Technical and statistical analysis tools - Company regulation, disclosure and investor rights - Company performance analysis - Basic economic theories |
| Securities, managed products, mutual funds and other investments | 19% | - Exchange-traded funds - Managed product investment considerations - Asset classes - Equity investment considerations - Pooled products - Market indices - Equities - Other investments - Mutual funds - Fixed income investment considerations - Managed products - Fixed income securities and products |
| Derivatives | 5% | - Listed and over-the-counter derivatives markets - Futures, forwards, swaps and contracts for difference - Derivative account administration - Options - Prohibited derivative trading practices - Transactional elements of futures and options - Uses of derivatives - Derivative trading strategies |
| Conflicts of interest and ethics | 15% | - Personal financial dealings with clients - Information barriers and restricted lists - Ethics and regulatory rules - Client confidentiality - Outside activities of Approved Persons - Positions of influence - Conflict identification, avoidance, addressing and disclosure - Ethical and legal responsibilities to clients - Ethical principles and standards of conduct - CIRO and other ethical standards - Cybersecurity and confidential information - Managing conflicts of interest |
| Scope of client relationships | 15% | - Retail Investment Dealer services - Know-your-product requirements - Investment Representative role and client service - Trust, agency and fiduciary duty - Clients residing in the United States and other foreign jurisdictions - Investment management styles and strategies - Suitability exemptions - Investment performance benchmarks - Product due diligence - Account appropriateness - Registered Representative role and client service - Institutional Investment Dealer services - Relationship disclosure - Account appropriateness versus suitability - Escalation to subject matter experts - Institutional client sophistication and suitability exemptions - Client suitability determination |
| Market integrity, trade execution and settlement | 12% | - Order variations, cancellations and corrections - Reporting obligations - Order confirmation requirements - Investment banking, research and corporate finance - Derivative trading agreements - Gatekeeping for manipulative and deceptive practices - Order entry, trade processing, settlement and delivery - Universal Market Integrity Rules - Order types - Account types - Margin requirements - UMIR gatekeeping obligations |
CIRO Canadian Investment Regulatory Sample Questions:
1. An Investment Representative (IR) at an Investment Dealer notices that a long-standing client, who typically trades conservative blue-chip stocks in moderate amounts, has suddenly started making frequent large trades in high-volatility penny stocks. What is the IR's best course of action under gatekeeping regulatory requirements?
A) Recognize the client has changed their trading strategy and take no further action
B) Detail the client's activity and report it to a Supervisor or compliance
C) Freeze the client's account immediately and report the activity as fraudulent
D) Monitor the transactions and wait for a regulatory authority to raise concerns
2. What is the role of the Financial Transactions and Reports Analysis Centre of Canada (FINTRAC) in the investment industry sector?
A) To regulate investment advisors and Investment Dealers
B) To manage clearing and settlement of trades
C) To enforce securities laws across provinces
D) To monitor and report on suspicious financial transactions
3. How does the Relative Strength Index (RSI) help investors assess market conditions?
A) It measures the volatility of a stock by comparing its high and low prices
B) It evaluates the price-to-earnings (P/E) ratio of a stock to determine its market value
C) It analyzes the company's quarterly earnings to forecast future stock prices
D) It indicates whether a stock is overbought or oversold, signaling possible trend reversals
4. A shareholder owns shares in a company that announces a 2-for-1 stock split. Which of the following most accurately describes the impact of this stock split?
A) The total value of the shareholder's investment will remain the same, but the number of shares owned will double
B) The stock split will decrease the total value of the shareholder's investment, causing the company's market capitalization to shrink
C) The stock split will increase the shareholder's investment value because the company is essentially
"giving" more shares
D) The number of shares owned by the shareholder will increase, but the overall value of the investment will increase as well
5. A product manufacturer uses a disincentive approach and claws back a portion of commissions paid to a Registered Representative (RR) if a client sells their position in a structured product before the two- year anniversary. What is the RR's ethical responsibility during the client's annual suitability review in relation to this structured product?
A) Emphasize the claw-back policy, as not to do so would diminish the investor's confidence in the integrity of the market
B) Encourage the client to sell the product within two years to demonstrate their independence from the firm's policies
C) Ensure any recommendation to hold or sell is based on the just and equitable principles of the trade
D) Advise the client to hold the product until the two-year anniversary, as this would be in the best interest of the client
Solutions:
| Question # 1 Answer: B | Question # 2 Answer: D | Question # 3 Answer: D | Question # 4 Answer: A | Question # 5 Answer: C |
