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CIRO CIRE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Client complaint handling and reporting | 5% | - Client recourse options - Complaint policies, procedures and recordkeeping - Investment Dealer complaint reporting obligations - Investment Dealer obligations to clients - CIRO and provincial regulator roles in complaint handling - Settlement agreements with clients - Client issues and potential liability |
| Prospective client relationships | 10% | - Third parties and professional advisers - Costs, fees, turnover and taxes - Retail and institutional clients - Investment Dealer onboarding process - Client recordkeeping - Retail client information and risk profile - Client relationship model - Account agreements and welcome documentation - Accredited investors and exemptions - Institutional client qualification |
| Market integrity, trade execution and settlement | 12% | - UMIR gatekeeping obligations - Account types - Gatekeeping for manipulative and deceptive practices - Margin requirements - Universal Market Integrity Rules - Derivative trading agreements - Reporting obligations - Order confirmation requirements - Order entry, trade processing, settlement and delivery - Order types - Investment banking, research and corporate finance - Order variations, cancellations and corrections |
| Scope of client relationships | 15% | - Trust, agency and fiduciary duty - Investment performance benchmarks - Investment management styles and strategies - Relationship disclosure - Client suitability determination - Escalation to subject matter experts - Investment Representative role and client service - Product due diligence - Institutional Investment Dealer services - Account appropriateness - Registered Representative role and client service - Retail Investment Dealer services - Account appropriateness versus suitability - Institutional client sophistication and suitability exemptions - Know-your-product requirements - Suitability exemptions - Clients residing in the United States and other foreign jurisdictions |
| Overview of Canadian securities regulatory framework | 10% | - Role and authority of the Canadian Securities Administrators and provincial/territorial securities and derivatives regulators - Investment Dealer registration and individual approval requirements - Marketplaces and trading venues - Clearing agencies - Canadian Investor Protection Fund - Role and authority of the Canadian Investment Regulatory Organization - Anti-money laundering requirements - Criminal Code and financial crime - Confidentiality, privacy, anti-spam and shareholder rights legislation - Bank Act and Bankruptcy and Insolvency Act - Other investment industry regulators and agencies |
| Conflicts of interest and ethics | 15% | - Managing conflicts of interest - Outside activities of Approved Persons - Ethical and legal responsibilities to clients - Personal financial dealings with clients - CIRO and other ethical standards - Ethical principles and standards of conduct - Positions of influence - Information barriers and restricted lists - Client confidentiality - Cybersecurity and confidential information - Conflict identification, avoidance, addressing and disclosure - Ethics and regulatory rules |
| Derivatives | 5% | - Derivative trading strategies - Derivative account administration - Transactional elements of futures and options - Options - Uses of derivatives - Prohibited derivative trading practices - Futures, forwards, swaps and contracts for difference - Listed and over-the-counter derivatives markets |
| Securities, managed products, mutual funds and other investments | 19% | - Equities - Other investments - Fixed income securities and products - Market indices - Exchange-traded funds - Equity investment considerations - Managed product investment considerations - Mutual funds - Pooled products - Fixed income investment considerations - Asset classes - Managed products |
| Market and company analysis | 8% | - Company regulation, disclosure and investor rights - Macroeconomic effects on financial markets - Technical and statistical analysis tools - Economic information and indicators - Macroeconomic factors and policies - Basic economic theories - Company performance analysis - Market theories and stock market behaviour - Industry performance analysis |
CIRO Canadian Investment Regulatory Sample Questions:
Which of the following is a key requirement of the client relationship model under the Investment Dealer and Partially Consolidated rules?
- A. Highlighting the client feedback on past client relationships
- B. Offering always available client service for administrative queries
- C. Providing disclosure of all material conflicts of interest to clients
- D. Prioritizing client decisions above the representative's advice
Correct Answer: C 🗳️
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How does the Relative Strength Index (RSI) help investors assess market conditions?
- A. It indicates whether a stock is overbought or oversold, signaling possible trend reversals
- B. It analyzes the company's quarterly earnings to forecast future stock prices
- C. It evaluates the price-to-earnings (P/E) ratio of a stock to determine its market value
- D. It measures the volatility of a stock by comparing its high and low prices
Correct Answer: A 🗳️
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An Investment Dealer must explain the complaint escalation options available to a Retail Client. Which of the following is the most likely next step a client would take if dissatisfied with the firm's final response to a complaint?
- A. Referral to the ombudsman
- B. Class action
- C. Referral to the Canadian Securities Administrators (CSA)
- D. Criminal legal proceedings
Correct Answer: A 🗳️
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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 regulate and monitor the stock market
- C. To control the nation's fiscal policy
- D. To directly set wages and prices in the economy
Correct Answer: A 🗳️
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A company's financial analyst is reviewing the company's financial status as of the end of the fiscal year. Which financial statement will provide the necessary details about the company's assets and liabilities at that specific point in time?
- A. Income Statement
- B. Statement of Comprehensive Income
- C. Statement of Cash Flows
- D. Statement of Financial Position
Correct Answer: D 🗳️
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