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CIRO CIRE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Prospective client relationships | 10% | - Accredited investors and exemptions - Costs, fees, turnover and taxes - Account agreements and welcome documentation - Retail and institutional clients - Client recordkeeping - Institutional client qualification - Client relationship model - Investment Dealer onboarding process - Third parties and professional advisers - Retail client information and risk profile |
| Market integrity, trade execution and settlement | 12% | - Order types - Reporting obligations - Order variations, cancellations and corrections - Order confirmation requirements - Account types - Derivative trading agreements - Investment banking, research and corporate finance - Gatekeeping for manipulative and deceptive practices - UMIR gatekeeping obligations - Order entry, trade processing, settlement and delivery - Universal Market Integrity Rules - Margin requirements |
| Client complaint handling and reporting | 5% | - Client recourse options - Investment Dealer obligations to clients - Settlement agreements with clients - Investment Dealer complaint reporting obligations - Complaint policies, procedures and recordkeeping - Client issues and potential liability - CIRO and provincial regulator roles in complaint handling |
| Market and company analysis | 8% | - Company regulation, disclosure and investor rights - Economic information and indicators - Market theories and stock market behaviour - Basic economic theories - Industry performance analysis - Macroeconomic effects on financial markets - Technical and statistical analysis tools - Macroeconomic factors and policies - Company performance analysis |
| Securities, managed products, mutual funds and other investments | 19% | - Pooled products - Fixed income securities and products - Mutual funds - Managed product investment considerations - Market indices - Equity investment considerations - Managed products - Exchange-traded funds - Other investments - Asset classes - Equities - Fixed income investment considerations |
| Overview of Canadian securities regulatory framework | 10% | - Role and authority of the Canadian Securities Administrators and provincial/territorial securities and derivatives regulators - Marketplaces and trading venues - Anti-money laundering requirements - Other investment industry regulators and agencies - Investment Dealer registration and individual approval requirements - Bank Act and Bankruptcy and Insolvency Act - Canadian Investor Protection Fund - Confidentiality, privacy, anti-spam and shareholder rights legislation - Criminal Code and financial crime - Role and authority of the Canadian Investment Regulatory Organization - Clearing agencies |
| Conflicts of interest and ethics | 15% | - Positions of influence - Managing conflicts of interest - Information barriers and restricted lists - Outside activities of Approved Persons - Ethics and regulatory rules - Client confidentiality - Ethical principles and standards of conduct - Personal financial dealings with clients - Cybersecurity and confidential information - Conflict identification, avoidance, addressing and disclosure - Ethical and legal responsibilities to clients - CIRO and other ethical standards |
| Scope of client relationships | 15% | - Know-your-product requirements - Account appropriateness - Account appropriateness versus suitability - Institutional client sophistication and suitability exemptions - Trust, agency and fiduciary duty - Suitability exemptions - Relationship disclosure - Client suitability determination - Registered Representative role and client service - Retail Investment Dealer services - Product due diligence - Investment management styles and strategies - Investment performance benchmarks - Clients residing in the United States and other foreign jurisdictions - Investment Representative role and client service - Escalation to subject matter experts - Institutional Investment Dealer services |
| Derivatives | 5% | - Transactional elements of futures and options - Derivative trading strategies - Prohibited derivative trading practices - Futures, forwards, swaps and contracts for difference - Listed and over-the-counter derivatives markets - Derivative account administration - Options - Uses of derivatives |
CIRO Canadian Investment Regulatory Sample Questions:
1. What is the maximum sum that can be awarded under the CIRO's arbitration program?
A) $350,000
B) $650,000
C) $750,000
D) $500,000
2. An investor wants to buy $50,000 worth of stock using margin. Their Registered Representative (RR) explains the regulatory requirements for margin to them. Why is it necessary to have margin requirements?
A) To ensure the dealer earns more commission from larger leveraged trades
B) To allow investors to trade higher-risk securities without additional funding
C) To reduce risk by ensuring investors have sufficient capital for losses
D) To enable clients to maximize their investment returns using borrowed funds
3. A Portfolio Manager with discretionary accounts controls the proxy voting on behalf of clients. The firm does not typically participate in corporate governance votes but the manager's sister-in-law has been nominated for the board, and has asked the manager to vote in favour of her nomination. The manager believes she is well qualified. How should the manager proceed?
A) The manager should abstain from voting, as the personal relationship with the nominee creates a potential conflict of interest
B) Vote as requested by the sister-in-law, as the firm does not typically participate in governance votes, so this situation is unlikely to matter
C) The manager should vote in favour of the nomination, but only if they disclose the personal relationship to clients before casting the vote
D) The manager should vote against the nomination, as it could create a potential conflict of interest even though she is qualified
4. An investment advisor is considering recommending a pooled fund to a client. Which of the following is a characteristic of pooled funds?
A) The fund pools money from multiple investors to invest in a diversified portfolio
B) The fund typically charges a flat fee regardless of the client's contribution size
C) The client has full control over individual security selection within the fund
D) The client owns individual securities within the pool
5. How many days does a client have to refer a complaint to the Ombudsman for Banking Services and Investments (OBSI) after getting a final response from a firm?
A) 180 days from the date the complaint was made
B) 180 days from the date of the firm's initial response
C) 180 days from the date that CIRO was notified
D) 180 days from the client receiving a final response
Solutions:
| Question # 1 Answer: D | Question # 2 Answer: C | Question # 3 Answer: A | Question # 4 Answer: A | Question # 5 Answer: D |
