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 |
|---|---|---|
| Conflicts of interest and ethics | 15% | - Ethical principles and standards of conduct - Cybersecurity and confidential information - Client confidentiality - Positions of influence - Information barriers and restricted lists - Outside activities of Approved Persons - Ethical and legal responsibilities to clients - Managing conflicts of interest - CIRO and other ethical standards - Ethics and regulatory rules - Conflict identification, avoidance, addressing and disclosure - Personal financial dealings with clients |
| Market and company analysis | 8% | - Market theories and stock market behaviour - Company performance analysis - Economic information and indicators - Technical and statistical analysis tools - Company regulation, disclosure and investor rights - Macroeconomic effects on financial markets - Macroeconomic factors and policies - Industry performance analysis - Basic economic theories |
| Derivatives | 5% | - Transactional elements of futures and options - Futures, forwards, swaps and contracts for difference - Derivative account administration - Listed and over-the-counter derivatives markets - Prohibited derivative trading practices - Derivative trading strategies - Uses of derivatives - Options |
| Overview of Canadian securities regulatory framework | 10% | - Criminal Code and financial crime - Clearing agencies - Role and authority of the Canadian Securities Administrators and provincial/territorial securities and derivatives regulators - Anti-money laundering requirements - Other investment industry regulators and agencies - Bank Act and Bankruptcy and Insolvency Act - Confidentiality, privacy, anti-spam and shareholder rights legislation - Investment Dealer registration and individual approval requirements - Marketplaces and trading venues - Role and authority of the Canadian Investment Regulatory Organization - Canadian Investor Protection Fund |
| Market integrity, trade execution and settlement | 12% | - Margin requirements - Order confirmation requirements - Universal Market Integrity Rules - Derivative trading agreements - Order entry, trade processing, settlement and delivery - UMIR gatekeeping obligations - Account types - Order variations, cancellations and corrections - Reporting obligations - Order types - Investment banking, research and corporate finance - Gatekeeping for manipulative and deceptive practices |
| Client complaint handling and reporting | 5% | - Settlement agreements with clients - Investment Dealer complaint reporting obligations - Client recourse options - Investment Dealer obligations to clients - Complaint policies, procedures and recordkeeping - CIRO and provincial regulator roles in complaint handling - Client issues and potential liability |
| Scope of client relationships | 15% | - Suitability exemptions - Client suitability determination - Institutional Investment Dealer services - Account appropriateness - Clients residing in the United States and other foreign jurisdictions - Escalation to subject matter experts - Investment performance benchmarks - Investment Representative role and client service - Registered Representative role and client service - Relationship disclosure - Investment management styles and strategies - Retail Investment Dealer services - Institutional client sophistication and suitability exemptions - Know-your-product requirements - Account appropriateness versus suitability - Product due diligence - Trust, agency and fiduciary duty |
| Prospective client relationships | 10% | - Account agreements and welcome documentation - Costs, fees, turnover and taxes - Client relationship model - Third parties and professional advisers - Retail and institutional clients - Institutional client qualification - Client recordkeeping - Retail client information and risk profile - Investment Dealer onboarding process - Accredited investors and exemptions |
| Securities, managed products, mutual funds and other investments | 19% | - Equity investment considerations - Market indices - Fixed income securities and products - Other investments - Equities - Managed product investment considerations - Fixed income investment considerations - Exchange-traded funds - Mutual funds - Asset classes - Managed products - Pooled products |
CIRO Canadian Investment Regulatory Sample Questions:
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 CIRO to trade but not advise on securities, options and futures contracts
- C. An organization approved by CIRO authorized to trade or advise on securities, options and futures
- D. An individual approved by the Canadian Investment Regulatory Organization (CIRO) authorized to trade or advise on securities, options and futures
Correct Answer: D 🗳️
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What must an Investment Dealer include in a remediation plan when addressing a capital deficiency?
- A. A summary of penalties imposed on employees responsible for the shortfall
- B. A list of high-risk investments used to improve capital reserves
- C. A detailed timeline for restoring compliance and actions taken to mitigate risks
- D. A request to waive the capital requirement for a defined period
Correct Answer: C 🗳️
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Which of the following is the primary role of a central bank in managing the macroeconomy?
- A. To control the nation's fiscal policy
- B. To directly set wages and prices in the economy
- C. To manage the country's money supply
- D. To regulate and monitor the stock market
Correct Answer: C 🗳️
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Which of the following best describes the best execution rule?
- A. It stipulates that all trades should be executed by the same dealer to maintain consistency
- B. It requires that trades are executed on the most advantageous terms for the client
- C. It ensures that trades are executed at the best possible price and reducing commissions
- D. It mandates that trades must be executed at the price most favorable to the market participant
Correct Answer: B 🗳️
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A client calls their Investment Dealer to cancel an order to purchase 1,000 shares of a stock. However, the order has already been executed. What is the Investment Dealer's most appropriate action in this situation?
- A. The dealer should try to reverse the trade as soon as possible by executing a new opposing trade
- B. The dealer should cancel the order as per the client's request, regardless of the execution status
- C. The dealer should inform the client that the order has already been executed and that it cannot be undone
- D. The dealer should inform the client they need to file a request with the exchange to cancel order
Correct Answer: C 🗳️
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