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CIRO CIRE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Conflicts of interest and ethics | 15% | - Managing conflicts of interest - Ethical and legal responsibilities to clients - Personal financial dealings with clients - CIRO and other ethical standards - Ethics and regulatory rules - Positions of influence - Conflict identification, avoidance, addressing and disclosure - Outside activities of Approved Persons - Ethical principles and standards of conduct - Cybersecurity and confidential information - Client confidentiality - Information barriers and restricted lists |
| Topic 2: Scope of client relationships | 15% | - Product due diligence - Suitability exemptions - Account appropriateness versus suitability - Institutional Investment Dealer services - Institutional client sophistication and suitability exemptions - Relationship disclosure - Account appropriateness - Investment management styles and strategies - Trust, agency and fiduciary duty - Clients residing in the United States and other foreign jurisdictions - Investment Representative role and client service - Retail Investment Dealer services - Client suitability determination - Escalation to subject matter experts - Investment performance benchmarks - Know-your-product requirements - Registered Representative role and client service |
| Topic 3: Market integrity, trade execution and settlement | 12% | - Gatekeeping for manipulative and deceptive practices - Account types - Reporting obligations - Order variations, cancellations and corrections - Order entry, trade processing, settlement and delivery - Investment banking, research and corporate finance - Derivative trading agreements - Universal Market Integrity Rules - Margin requirements - UMIR gatekeeping obligations - Order confirmation requirements - Order types |
| Topic 4: Market and company analysis | 8% | - Company performance analysis - Macroeconomic factors and policies - Market theories and stock market behaviour - Company regulation, disclosure and investor rights - Industry performance analysis - Macroeconomic effects on financial markets - Technical and statistical analysis tools - Economic information and indicators - Basic economic theories |
| Topic 5: Overview of Canadian securities regulatory framework | 10% | - Role and authority of the Canadian Investment Regulatory Organization - Bank Act and Bankruptcy and Insolvency Act - Marketplaces and trading venues - Confidentiality, privacy, anti-spam and shareholder rights legislation - Clearing agencies - Investment Dealer registration and individual approval requirements - Canadian Investor Protection Fund - Criminal Code and financial crime - Other investment industry regulators and agencies - Role and authority of the Canadian Securities Administrators and provincial/territorial securities and derivatives regulators - Anti-money laundering requirements |
| Topic 6: Derivatives | 5% | - Derivative trading strategies - Prohibited derivative trading practices - Uses of derivatives - Listed and over-the-counter derivatives markets - Transactional elements of futures and options - Derivative account administration - Futures, forwards, swaps and contracts for difference - Options |
| Topic 7: Client complaint handling and reporting | 5% | - Investment Dealer complaint reporting obligations - Settlement agreements with clients - Client recourse options - CIRO and provincial regulator roles in complaint handling - Complaint policies, procedures and recordkeeping - Client issues and potential liability - Investment Dealer obligations to clients |
| Topic 8: Prospective client relationships | 10% | - Costs, fees, turnover and taxes - Client relationship model - Third parties and professional advisers - Investment Dealer onboarding process - Retail and institutional clients - Client recordkeeping - Institutional client qualification - Accredited investors and exemptions - Account agreements and welcome documentation - Retail client information and risk profile |
| Topic 9: Securities, managed products, mutual funds and other investments | 19% | - Exchange-traded funds - Fixed income investment considerations - Equities - Asset classes - Equity investment considerations - Managed products - Other investments - Mutual funds - Managed product investment considerations - Pooled products - Market indices - Fixed income securities and products |
CIRO Canadian Investment Regulatory Sample Questions:
Which method is typically used to calculate the value of most equity indices?
- A. Using a weighted average based on the market capitalization of each company
- B. Adding dividend yields of included companies divided by total number of companies
- C. Adding stock prices of included companies divided by total number of companies
- D. Using the median stock price of the included companies for index calculation
Correct Answer: A 🗳️
Explanation: Only visible for RealVCE members. You can sign-up / login (it's free).
The requirement to collect know-your-client (KYC) information does not apply in which of the following scenarios?
- A. The client is opening an order execution only (OEO) account
- B. The client is based in the U.S.A
- C. The client has more than $10m in assets
- D. The client is receiving only limited investment advice
Correct Answer: A 🗳️
Explanation: Only visible for RealVCE members. You can sign-up / login (it's free).
The Ombudsman for Banking Services and Investments (OBSI) has recommended that a firm compensate a client. If the firm refuses to comply, what action can OBSI take?
- A. Make a public statement about the Investment Dealer
- B. Enforce the recommendation via the Canadian courts
- C. Revoke the Investment Dealer's registration
- D. Do nothing as the recommendation is not binding
Correct Answer: A 🗳️
Explanation: Only visible for RealVCE 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. Recognize the client has changed their trading strategy and take no further action
- B. Freeze the client's account immediately and report the activity as fraudulent
- C. Monitor the transactions and wait for a regulatory authority to raise concerns
- D. Detail the client's activity and report it to a Supervisor or compliance
Correct Answer: D 🗳️
A central bank raises interest rates to address rising inflation. What is the most likely effect of this policy on the economy?
- A. Increased borrowing by businesses and individuals
- B. Increased consumer spending and higher inflation
- C. Reduced consumer spending and lower inflation
- D. Higher demand for goods and services
Correct Answer: C 🗳️
Explanation: Only visible for RealVCE members. You can sign-up / login (it's free).
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