Exam Name: Canadian Investment Regulatory Exam
Certification Provider: CIRO
Corresponding Certification: Canadian Investment Regulatory
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CIRO CIRE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Market and company analysis | 8% | - Basic economic theories - Macroeconomic effects on financial markets - Industry performance analysis - Economic information and indicators - Company performance analysis - Company regulation, disclosure and investor rights - Macroeconomic factors and policies - Technical and statistical analysis tools - Market theories and stock market behaviour |
| Prospective client relationships | 10% | - Retail and institutional clients - Retail client information and risk profile - Client relationship model - Costs, fees, turnover and taxes - Account agreements and welcome documentation - Investment Dealer onboarding process - Accredited investors and exemptions - Institutional client qualification - Third parties and professional advisers - Client recordkeeping |
| Client complaint handling and reporting | 5% | - Client issues and potential liability - Investment Dealer complaint reporting obligations - Settlement agreements with clients - Complaint policies, procedures and recordkeeping - CIRO and provincial regulator roles in complaint handling - Client recourse options - Investment Dealer obligations to clients |
| Securities, managed products, mutual funds and other investments | 19% | - Mutual funds - Managed products - Asset classes - Other investments - Managed product investment considerations - Fixed income investment considerations - Fixed income securities and products - Exchange-traded funds - Equity investment considerations - Equities - Market indices - Pooled products |
| Market integrity, trade execution and settlement | 12% | - Order variations, cancellations and corrections - Reporting obligations - Gatekeeping for manipulative and deceptive practices - Derivative trading agreements - Universal Market Integrity Rules - Investment banking, research and corporate finance - UMIR gatekeeping obligations - Order types - Order entry, trade processing, settlement and delivery - Account types - Order confirmation requirements - Margin requirements |
| Overview of Canadian securities regulatory framework | 10% | - Other investment industry regulators and agencies - Clearing agencies - Bank Act and Bankruptcy and Insolvency Act - Investment Dealer registration and individual approval requirements - Role and authority of the Canadian Securities Administrators and provincial/territorial securities and derivatives regulators - Criminal Code and financial crime - Canadian Investor Protection Fund - Marketplaces and trading venues - Anti-money laundering requirements - Confidentiality, privacy, anti-spam and shareholder rights legislation - Role and authority of the Canadian Investment Regulatory Organization |
| Derivatives | 5% | - Options - Transactional elements of futures and options - Derivative trading strategies - Uses of derivatives - Derivative account administration - Futures, forwards, swaps and contracts for difference - Prohibited derivative trading practices - Listed and over-the-counter derivatives markets |
| Scope of client relationships | 15% | - Trust, agency and fiduciary duty - Investment Representative role and client service - Product due diligence - Account appropriateness - Account appropriateness versus suitability - Relationship disclosure - Retail Investment Dealer services - Institutional client sophistication and suitability exemptions - Investment performance benchmarks - Escalation to subject matter experts - Institutional Investment Dealer services - Client suitability determination - Know-your-product requirements - Clients residing in the United States and other foreign jurisdictions - Registered Representative role and client service - Investment management styles and strategies - Suitability exemptions |
| Conflicts of interest and ethics | 15% | - Cybersecurity and confidential information - Client confidentiality - Outside activities of Approved Persons - Ethical and legal responsibilities to clients - Personal financial dealings with clients - Ethics and regulatory rules - Managing conflicts of interest - Positions of influence - Ethical principles and standards of conduct - Conflict identification, avoidance, addressing and disclosure - Information barriers and restricted lists - CIRO and other ethical standards |
CIRO Canadian Investment Regulatory Sample Questions:
1. Investment Dealers must provide relationship disclosure to which of the following types of clients?
A) All clients except Retail Clients
B) All clients except Institutional Clients
C) All clients except managed clients
D) All clients except non-discretionary clients
2. What is the purpose of the Canadian Anti-Spam Legislation (CASL)?
A) To block unsolicited commercial messages without consent
B) To regulate the use of electronic signatures
C) To oversee securities-related email marketing campaigns
D) To ensure compliance with privacy law in email communications
3. An investor is considering mutual funds but has concerns about potential drawbacks. What is one significant disadvantage of investing in mutual funds?
A) Professional management of the fund
B) Fees and expenses reducing overall returns
C) High diversification in the portfolio
D) Liquidity allowing easy buying and selling
4. A Registered Representative (RR) determines that an investment strategy is not suitable for a retail client. The client decides that they want to invest anyway. Which of the following should the RR do?
A) Seek advice from a self-regulatory authority
B) Recommend an alternative action that is suitable
C) Refuse to undertake the investment strategy
D) Report the request as an unacceptable trade
5. Which is the best definition of a Registered Representative (RR)?
A) An individual approved by CIRO authorized to trade or advise on securities, options and futures
B) An individual approved by the Canadian Investment Regulatory Organization (CIRO) authorized to trade or advise on securities, options and futures
C) An organization approved by CIRO authorized to trade or advise on securities, options and futures
D) An individual approved by CIRO to trade but not advise on securities, options and futures contracts
Solutions:
| Question # 1 Answer: B | Question # 2 Answer: A | Question # 3 Answer: B | Question # 4 Answer: B | Question # 5 Answer: B |
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