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CIRO CIRE Exam Syllabus Topics:

Section	Weight	Objectives
Scope of client relationships	15%	- Suitability determination requirements for retail clients - Product due diligence obligations - Account appropriateness versus suitability determination - Typical services provided by institutional Investment Dealers - Typical services provided by retail Investment Dealers - Requirements for working with clients in the United States and other foreign jurisdictions - Institutional client sophistication assessment and suitability exemptions - Know-your-product obligations - Role of the Investment Representative in providing client service - Account appropriateness obligations - Trust, agency and fiduciary duty - Role of the Registered Representative in providing client service - Internal escalation procedures and subject matter experts - Exemptions from suitability determination requirements - Purpose and content of relationship disclosure - Systematic approaches to investment management and investment strategies - Investment performance benchmarks
Securities, managed products, mutual funds and other investments	19%	- Types, features, risks and returns of equities - Considerations affecting managed product investors - Types, features, risks and returns of fixed income securities and products - Purpose and uses of market indices - Asset classes generally sold and traded at an Investment Dealer - Considerations affecting fixed income investors - Considerations affecting exchange-traded fund investors - Considerations affecting equity investors and potential shareholders - Features, risks and returns of managed products - Types of pooled products - Other investments including hedge funds, structured products, alternative investment funds, crypto assets and ESG-related products - Considerations affecting mutual fund investors
Conflicts of interest and ethics	15%	- Importance of ethics and its relationship to rules - Importance of managing conflicts of interest - CIRO and other ethical standards of conduct - Ethical and legal responsibilities to clients - Information controls, barriers, firewalls and restricted lists - Requirements regarding positions of influence - Ethical principles and standards of conduct for Approved Persons and Investment Dealers - Inappropriate or prohibited personal financial dealings with clients - Client confidentiality policies and procedures - Conflicts of interest management process - Activities outside an Investment Dealer - Role of cybersecurity in protecting confidential information
Client complaint handling and reporting	5%	- Investment Dealer complaint reporting obligations and penalties - Recourse available to dissatisfied clients - Role of CIRO and provincial regulators in the complaints handling framework - Policies and procedures for reporting, handling and maintaining complaint records - Investment Dealer obligations to clients - Prohibited practices in client settlement agreements - Potential client issues, liability and consequences
Derivatives	5%	- Prohibited derivative trading practices - Listed versus over-the-counter derivative markets - Single and multi-legged derivative trading strategies - Basic transactional elements of futures and options - Features of options contract types - Features of other derivative contract types - Basic uses of derivatives - Administrative requirements for derivative trading with clients
Overview of Canadian securities regulatory framework	10%	- Anti-money laundering and anti-terrorist financing legislation and regulations - Investment Dealer registration and individual approval requirements - Function and purpose of investment industry marketplaces - Purpose and implications of the Bank Act and Bankruptcy and Insolvency Act - Other applicable laws including confidentiality, privacy, anti-spam, company disclosure and shareholder rights - Function and purpose of other investment industry regulators and agencies - Function and purpose of clearing agencies - Role and authority of the Canadian Investment Regulatory Organization - Role and authority of the Canadian Securities Administrators and provincial and territorial securities and derivatives regulators - Criminal Code and its application to financial crime - Function and purpose of the Canadian Investor Protection Fund
Market integrity, trade execution and settlement	12%	- UMIR gatekeeping obligations - Reporting obligations to firms and regulators - Margin requirements - Gatekeeping requirements for manipulative and deceptive practices, unacceptable activities and front running - Functions of investment banking, research and corporate finance - Order confirmation requirements - Order entry, trade management, settlement and delivery - Features of different order types - Specialized trading agreements for derivative accounts - Features of different account types - Order variations, cancellations and corrections - Universal Market Integrity Rules
Prospective client relationships	10%	- Retail client information collection - Required account agreement and Firm Welcome package documents - Institutional client qualification requirements - Exemptions under National Instrument 45-106 - Impact of fees, turnover and taxes on investment returns - Role of cost in product selection - Differences between retail and institutional clients - Client record documentation, filing and maintenance - Third parties and other professionals in the client's life - Investment Dealer onboarding process - Client relationship model
Market and company analysis	8%	- Company performance analysis tools - Basic market theories and stock market behaviour - Technical and statistical analysis tools and information sources - Effects of macroeconomic factors on financial markets - Factors influencing the macroeconomy - Rules relating to companies - Basic economic theories - Economic indicators and sources of information - Industry performance analysis

CIRO Canadian Investment Regulatory Sample Questions:

Question #1

Which of the following reflects the CIRO standards of conduct in relation to client interaction?

A. Regulated Persons must be open and fair in the disclosure to clients of any price sensitive information
B. Disclosure of complex investment risks can be withheld if to disclose could be detrimental to the firm's interests
C. Emphasize the positive aspects of an investment opportunity to maintain the client's confidence in the integrity of the markets
D. An unreasonable departure from the standards expected of a Regulated Person is acceptable in isolated situations

Reveal Solution Discussion 0

Correct Answer: A 🗳️