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CIRO CIRE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Client complaint handling and reporting | 5% | - Settlement agreements with clients - Client recourse options - Investment Dealer complaint reporting obligations - Client issues and potential liability - Complaint policies, procedures and recordkeeping - Investment Dealer obligations to clients - CIRO and provincial regulator roles in complaint handling |
| Topic 2: Conflicts of interest and ethics | 15% | - Client confidentiality - Ethics and regulatory rules - Cybersecurity and confidential information - Conflict identification, avoidance, addressing and disclosure - Ethical principles and standards of conduct - Information barriers and restricted lists - Outside activities of Approved Persons - Managing conflicts of interest - CIRO and other ethical standards - Personal financial dealings with clients - Ethical and legal responsibilities to clients - Positions of influence |
| Topic 3: Market integrity, trade execution and settlement | 12% | - Reporting obligations - Investment banking, research and corporate finance - Order confirmation requirements - Derivative trading agreements - Order variations, cancellations and corrections - Margin requirements - Account types - Order entry, trade processing, settlement and delivery - Order types - UMIR gatekeeping obligations - Universal Market Integrity Rules - Gatekeeping for manipulative and deceptive practices |
| Topic 4: Market and company analysis | 8% | - Economic information and indicators - Basic economic theories - Company regulation, disclosure and investor rights - Macroeconomic effects on financial markets - Macroeconomic factors and policies - Market theories and stock market behaviour - Technical and statistical analysis tools - Industry performance analysis - Company performance analysis |
| Topic 5: Derivatives | 5% | - Transactional elements of futures and options - Derivative account administration - Prohibited derivative trading practices - Derivative trading strategies - Futures, forwards, swaps and contracts for difference - Uses of derivatives - Options - Listed and over-the-counter derivatives markets |
| Topic 6: Prospective client relationships | 10% | - Client relationship model - Retail client information and risk profile - Investment Dealer onboarding process - Costs, fees, turnover and taxes - Client recordkeeping - Account agreements and welcome documentation - Accredited investors and exemptions - Retail and institutional clients - Third parties and professional advisers - Institutional client qualification |
| Topic 7: Securities, managed products, mutual funds and other investments | 19% | - Equity investment considerations - Pooled products - Managed products - Managed product investment considerations - Market indices - Fixed income securities and products - Mutual funds - Equities - Asset classes - Fixed income investment considerations - Other investments - Exchange-traded funds |
| Topic 8: Overview of Canadian securities regulatory framework | 10% | - Role and authority of the Canadian Investment Regulatory Organization - Other investment industry regulators and agencies - Investment Dealer registration and individual approval requirements - Bank Act and Bankruptcy and Insolvency Act - Criminal Code and financial crime - Canadian Investor Protection Fund - Confidentiality, privacy, anti-spam and shareholder rights legislation - Marketplaces and trading venues - Role and authority of the Canadian Securities Administrators and provincial/territorial securities and derivatives regulators - Anti-money laundering requirements - Clearing agencies |
| Topic 9: Scope of client relationships | 15% | - Suitability exemptions - Account appropriateness - Institutional Investment Dealer services - Relationship disclosure - Investment management styles and strategies - Account appropriateness versus suitability - Institutional client sophistication and suitability exemptions - Clients residing in the United States and other foreign jurisdictions - Registered Representative role and client service - Trust, agency and fiduciary duty - Client suitability determination - Product due diligence - Retail Investment Dealer services - Investment performance benchmarks - Know-your-product requirements - Escalation to subject matter experts - Investment Representative role and client service |
CIRO Canadian Investment Regulatory Sample Questions:
Which of the following is the primary role of a central bank in managing the macroeconomy?
- A. To manage the country's money supply
- B. To directly set wages and prices in the economy
- C. To regulate and monitor the stock market
- D. To control the nation's fiscal policy
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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 lets the holder sell, and a put option lets the holder buy, an asset at a set price
- 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 buys at a fixed price; a put option gives the holder rights to future dividends
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A trader expects the price of a stock to rise and wants to use a bullish strategy in options trading.
Which of the following strategies should the trader use?
- A. Selling a call option
- B. Selling a put option
- C. Buying a call option
- D. Buying a put option
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An Investment Representative (IR) is asked by a client for information about a service that the IR does not fully understand. What is the IR's ethical responsibility?
- A. In the spirit of openness and fairness, ask a colleague better placed to explain
- B. In putting the client first, the IR should state the service is not available
- C. So as not to diminish investor confidence, explain the service in positive terms
- D. In order not to be negligent, explain the service to the best of their ability
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What must an Approved Person understand about securities to comply with know-your-product (KYP) obligations?
- A. Alternative securities that may be suitable
- B. The market demand and media coverage
- C. The securities' structure, features, and risks
- D. The securities' intended use by the client
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