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CIRO CIRE Exam Syllabus Topics:

Section

Weight

Objectives

Scope of client relationships

15%

- Registered Representative role and client service
- Relationship disclosure
- Investment Representative role and client service
- Trust, agency and fiduciary duty
- Account appropriateness
- Institutional client sophistication and suitability exemptions
- Suitability exemptions
- Know-your-product requirements
- Client suitability determination
- Institutional Investment Dealer services
- Product due diligence
- Retail Investment Dealer services
- Investment performance benchmarks
- Clients residing in the United States and other foreign jurisdictions
- Investment management styles and strategies
- Account appropriateness versus suitability
- Escalation to subject matter experts

Securities, managed products, mutual funds and other investments

19%

- Fixed income investment considerations
- Equities
- Other investments
- Exchange-traded funds
- Fixed income securities and products
- Managed products
- Pooled products
- Market indices
- Equity investment considerations
- Managed product investment considerations
- Asset classes
- Mutual funds

Client complaint handling and reporting

- Settlement agreements with clients
- Investment Dealer obligations to clients
- Client issues and potential liability
- Client recourse options
- Investment Dealer complaint reporting obligations
- CIRO and provincial regulator roles in complaint handling
- Complaint policies, procedures and recordkeeping

Prospective client relationships

10%

- Institutional client qualification
- Retail and institutional clients
- Third parties and professional advisers
- Retail client information and risk profile
- Account agreements and welcome documentation
- Investment Dealer onboarding process
- Accredited investors and exemptions
- Client recordkeeping
- Costs, fees, turnover and taxes
- Client relationship model

Conflicts of interest and ethics

15%

- Managing conflicts of interest
- Ethical and legal responsibilities to clients
- Client confidentiality
- Positions of influence
- Cybersecurity and confidential information
- CIRO and other ethical standards
- Personal financial dealings with clients
- Conflict identification, avoidance, addressing and disclosure
- Ethics and regulatory rules
- Information barriers and restricted lists
- Ethical principles and standards of conduct
- Outside activities of Approved Persons

Market integrity, trade execution and settlement

12%

- Investment banking, research and corporate finance
- Margin requirements
- Order variations, cancellations and corrections
- Derivative trading agreements
- Universal Market Integrity Rules
- UMIR gatekeeping obligations
- Order entry, trade processing, settlement and delivery
- Gatekeeping for manipulative and deceptive practices
- Order confirmation requirements
- Reporting obligations
- Order types
- Account types

Derivatives

- Futures, forwards, swaps and contracts for difference
- Prohibited derivative trading practices
- Transactional elements of futures and options
- Options
- Derivative trading strategies
- Uses of derivatives
- Derivative account administration
- Listed and over-the-counter derivatives markets

Market and company analysis

- Industry performance analysis
- Macroeconomic factors and policies
- Macroeconomic effects on financial markets
- Company regulation, disclosure and investor rights
- Market theories and stock market behaviour
- Company performance analysis
- Technical and statistical analysis tools
- Economic information and indicators
- Basic economic theories

Overview of Canadian securities regulatory framework

10%

- Role and authority of the Canadian Securities Administrators and provincial/territorial securities and derivatives regulators
- Bank Act and Bankruptcy and Insolvency Act
- Anti-money laundering requirements
- Canadian Investor Protection Fund
- Role and authority of the Canadian Investment Regulatory Organization
- Other investment industry regulators and agencies
- Investment Dealer registration and individual approval requirements
- Clearing agencies
- Marketplaces and trading venues
- Criminal Code and financial crime
- Confidentiality, privacy, anti-spam and shareholder rights legislation

CIRO Canadian Investment Regulatory Sample Questions:

Question #1

Which of the following could be a market order?

A. An order that includes a client order as well as a non-client order or principal order, or both
B. Buy a security or a derivative to be executed upon entry to a marketplace at the best ask price
C. An order for the purchase or sale of a listed or a quoted security at the closing sale price
D. Buy a security or derivative to be executed at a specified maximum price

Reveal Solution Discussion 0

Correct Answer: B 🗳️