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CIRO CIRE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Overview of Canadian securities regulatory framework | 10% | - Role and authority of the Canadian Securities Administrators and provincial/territorial securities and derivatives regulators - Other investment industry regulators and agencies - Bank Act and Bankruptcy and Insolvency Act - Role and authority of the Canadian Investment Regulatory Organization - Confidentiality, privacy, anti-spam and shareholder rights legislation - Criminal Code and financial crime - Marketplaces and trading venues - Investment Dealer registration and individual approval requirements - Canadian Investor Protection Fund - Clearing agencies - Anti-money laundering requirements |
| Topic 2: Prospective client relationships | 10% | - Client recordkeeping - Client relationship model - Retail client information and risk profile - Costs, fees, turnover and taxes - Accredited investors and exemptions - Third parties and professional advisers - Investment Dealer onboarding process - Account agreements and welcome documentation - Institutional client qualification - Retail and institutional clients |
| Topic 3: Scope of client relationships | 15% | - Institutional client sophistication and suitability exemptions - Registered Representative role and client service - Investment Representative role and client service - Escalation to subject matter experts - Relationship disclosure - Client suitability determination - Account appropriateness versus suitability - Product due diligence - Trust, agency and fiduciary duty - Know-your-product requirements - Suitability exemptions - Clients residing in the United States and other foreign jurisdictions - Retail Investment Dealer services - Account appropriateness - Investment management styles and strategies - Investment performance benchmarks - Institutional Investment Dealer services |
| Topic 4: Market and company analysis | 8% | - Market theories and stock market behaviour - Company performance analysis - Economic information and indicators - Basic economic theories - Company regulation, disclosure and investor rights - Industry performance analysis - Macroeconomic factors and policies - Macroeconomic effects on financial markets - Technical and statistical analysis tools |
| Topic 5: Securities, managed products, mutual funds and other investments | 19% | - Pooled products - Equities - Fixed income securities and products - Equity investment considerations - Other investments - Managed products - Fixed income investment considerations - Managed product investment considerations - Asset classes - Exchange-traded funds - Mutual funds - Market indices |
| Topic 6: Market integrity, trade execution and settlement | 12% | - UMIR gatekeeping obligations - Margin requirements - Reporting obligations - Investment banking, research and corporate finance - Universal Market Integrity Rules - Gatekeeping for manipulative and deceptive practices - Order confirmation requirements - Derivative trading agreements - Order variations, cancellations and corrections - Account types - Order entry, trade processing, settlement and delivery - Order types |
| Topic 7: Derivatives | 5% | - Prohibited derivative trading practices - Listed and over-the-counter derivatives markets - Options - Derivative trading strategies - Futures, forwards, swaps and contracts for difference - Derivative account administration - Transactional elements of futures and options - Uses of derivatives |
| Topic 8: Client complaint handling and reporting | 5% | - Client recourse options - Investment Dealer complaint reporting obligations - CIRO and provincial regulator roles in complaint handling - Settlement agreements with clients - Investment Dealer obligations to clients - Client issues and potential liability - Complaint policies, procedures and recordkeeping |
| Topic 9: Conflicts of interest and ethics | 15% | - Positions of influence - CIRO and other ethical standards - Information barriers and restricted lists - Ethical principles and standards of conduct - Ethical and legal responsibilities to clients - Outside activities of Approved Persons - Ethics and regulatory rules - Cybersecurity and confidential information - Personal financial dealings with clients - Client confidentiality - Managing conflicts of interest - Conflict identification, avoidance, addressing and disclosure |
CIRO Canadian Investment Regulatory Sample Questions:
Question #1
What is the primary mandate of the Office of the Superintendent of Financial Institutions (OSFI)?
A. Managing investor protection funds
B. Investigating securities fraud
C. Monitoring anti-money laundering compliance
D. Supervising federally-regulated financial institutions
Question #2
Which of the following best describes the key difference between a call option and a put option in an options contract?
A. A call option buys at a fixed price; a put option gives the holder rights to future dividends
B. A call option allows the holder to buy, while a put option allows the holder to sell, at a fixed price
C. A call option gives the holder the right to sell an asset; a put option allows buying at market price
D. A call option lets the holder sell, and a put option lets the holder buy, an asset at a set price
Question #3
What is the function of the Canadian Securities Administrators (CSA) in regulating alternative trading systems (ATS)?
A. To approve all trades placed and executed on ATS platforms
B. To manage the clearing and settlement of trades executed on ATS
C. To regulate the conduct of individual Investment Dealers on ATS platforms
D. To ensure ATS platforms comply with securities laws and maintain transparency
Question #4
How does the Relative Strength Index (RSI) help investors assess market conditions?
A. It evaluates the price-to-earnings (P/E) ratio of a stock to determine its market value
B. It indicates whether a stock is overbought or oversold, signaling possible trend reversals
C. It measures the volatility of a stock by comparing its high and low prices
D. It analyzes the company's quarterly earnings to forecast future stock prices
Question #5
If reasonably foreseeable material conflicts of interest cannot be avoided, an Investment Dealer must ensure which of the following?
A. Address in the best interest of the client and disclose in a timely manner
B. Address in the best interest of the client and disclose during an annual review
C. Address in the best interest of the client with no disclosure requirement
D. Present options to the client before any action is taken
Solutions:
| Question #1 Correct Answer: D | Question #2 Correct Answer: B | Question #3 Correct Answer: D | Question #4 Correct Answer: B | Question #5 Correct Answer: A |
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