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CIRO CIRE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Market and company analysis | 8% | - Economic indicators and sources of information - Company performance analysis tools - Technical and statistical analysis tools and information sources - Rules relating to companies - Basic economic theories - Industry performance analysis - Effects of macroeconomic factors on financial markets - Factors influencing the macroeconomy - Basic market theories and stock market behaviour |
| Topic 2: Conflicts of interest and ethics | 15% | - Importance of managing conflicts of interest - Client confidentiality policies and procedures - Requirements regarding positions of influence - Inappropriate or prohibited personal financial dealings with clients - Information controls, barriers, firewalls and restricted lists - Ethical and legal responsibilities to clients - Role of cybersecurity in protecting confidential information - Importance of ethics and its relationship to rules - Activities outside an Investment Dealer - Conflicts of interest management process - CIRO and other ethical standards of conduct - Ethical principles and standards of conduct for Approved Persons and Investment Dealers |
| Topic 3: Securities, managed products, mutual funds and other investments | 19% | - Considerations affecting managed product investors - Types of pooled products - Purpose and uses of market indices - Considerations affecting equity investors and potential shareholders - Considerations affecting exchange-traded fund investors - Considerations affecting mutual fund investors - Considerations affecting fixed income investors - Types, features, risks and returns of fixed income securities and products - Features, risks and returns of managed products - Asset classes generally sold and traded at an Investment Dealer - Types, features, risks and returns of equities - Other investments including hedge funds, structured products, alternative investment funds, crypto assets and ESG-related products |
| Topic 4: Prospective client relationships | 10% | - Client relationship model - Role of cost in product selection - Institutional client qualification requirements - Impact of fees, turnover and taxes on investment returns - Client record documentation, filing and maintenance - Investment Dealer onboarding process - Retail client information collection - Required account agreement and Firm Welcome package documents - Differences between retail and institutional clients - Third parties and other professionals in the client's life - Exemptions under National Instrument 45-106 |
| Topic 5: Client complaint handling and reporting | 5% | - Potential client issues, liability and consequences - Investment Dealer obligations to clients - Prohibited practices in client settlement agreements - Investment Dealer complaint reporting obligations and penalties - Role of CIRO and provincial regulators in the complaints handling framework - Recourse available to dissatisfied clients - Policies and procedures for reporting, handling and maintaining complaint records |
| Topic 6: Market integrity, trade execution and settlement | 12% | - Reporting obligations to firms and regulators - Order variations, cancellations and corrections - Order entry, trade management, settlement and delivery - Gatekeeping requirements for manipulative and deceptive practices, unacceptable activities and front running - Specialized trading agreements for derivative accounts - Margin requirements - Features of different order types - Order confirmation requirements - Universal Market Integrity Rules - Functions of investment banking, research and corporate finance - Features of different account types - UMIR gatekeeping obligations |
| Topic 7: Overview of Canadian securities regulatory framework | 10% | - Function and purpose of investment industry marketplaces - Role and authority of the Canadian Investment Regulatory Organization - Function and purpose of other investment industry regulators and agencies - Purpose and implications of the Bank Act and Bankruptcy and Insolvency Act - Function and purpose of clearing agencies - Criminal Code and its application to financial crime - Investment Dealer registration and individual approval requirements - Other applicable laws including confidentiality, privacy, anti-spam, company disclosure and shareholder rights - Role and authority of the Canadian Securities Administrators and provincial and territorial securities and derivatives regulators - Anti-money laundering and anti-terrorist financing legislation and regulations - Function and purpose of the Canadian Investor Protection Fund |
| Topic 8: Scope of client relationships | 15% | - Account appropriateness obligations - Exemptions from suitability determination requirements - Trust, agency and fiduciary duty - Internal escalation procedures and subject matter experts - Requirements for working with clients in the United States and other foreign jurisdictions - Institutional client sophistication assessment and suitability exemptions - Suitability determination requirements for retail clients - Purpose and content of relationship disclosure - Typical services provided by retail Investment Dealers - Know-your-product obligations - Account appropriateness versus suitability determination - Role of the Investment Representative in providing client service - Systematic approaches to investment management and investment strategies - Product due diligence obligations - Investment performance benchmarks - Typical services provided by institutional Investment Dealers - Role of the Registered Representative in providing client service |
| Topic 9: Derivatives | 5% | - Prohibited derivative trading practices - Listed versus over-the-counter derivative markets - Features of other derivative contract types - Basic transactional elements of futures and options - Single and multi-legged derivative trading strategies - Administrative requirements for derivative trading with clients - Features of options contract types - Basic uses of derivatives |
CIRO Canadian Investment Regulatory Sample Questions:
How does the Relative Strength Index (RSI) help investors assess market conditions?
- A. It analyzes the company's quarterly earnings to forecast future stock prices
- B. It evaluates the price-to-earnings (P/E) ratio of a stock to determine its market value
- C. It measures the volatility of a stock by comparing its high and low prices
- D. It indicates whether a stock is overbought or oversold, signaling possible trend reversals
Correct Answer: D 🗳️
Explanation: Only visible for Pass4sures members. You can sign-up / login (it's free).
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. Monitor the transactions and wait for a regulatory authority to raise concerns
- B. Detail the client's activity and report it to a Supervisor or compliance
- C. Recognize the client has changed their trading strategy and take no further action
- D. Freeze the client's account immediately and report the activity as fraudulent
Correct Answer: B 🗳️
Explanation: Only visible for Pass4sures members. You can sign-up / login (it's free).
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. Confirmations are not required
- B. Promptly after the trade is executed
- C. Immediately before the trade is executed
- D. One day after the settlement date
Correct Answer: B 🗳️
Explanation: Only visible for Pass4sures members. You can sign-up / login (it's free).
In Canada, what framework is primarily used to group industries based on similar business activities?
- A. International Standard Industrial Classification (ISIC)
- B. Harmonized System (HS)
- C. North American Industry Classification System (NAICS)
- D. Standard Industrial Classification (SIC)
Correct Answer: C 🗳️
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How does an advisory account differ from a managed account?
- A. They can be used to provide access to complex investments
- B. The client retains control over investment decisions
- C. The investment decisions are made by a Portfolio Manager
- D. They are provided to retail clients and institutional clients
Correct Answer: B 🗳️
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