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CIRO CIRE Exam Syllabus Topics:

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

CIRO Canadian Investment Regulatory Sample Questions:

Question #1

What is the best course of action if an Investment Representative (IR) discovers a colleague engaging in what appears to be unethical behaviour?

A. Report it immediately to the regulatory authorities
B. Report the activity to the appropriate firm authority
C. Ignore the behaviour to avoid potential conflict
D. Confront the colleague privately to let them know

Reveal Solution Discussion 0

Correct Answer: B 🗳️

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Question #2

Which of the following accurately describes a key characteristic of mutual fund trusts?

A. They invest in a diversified portfolio of assets and pass on income to unitholders
B. They issue shares that can be traded on the stock exchange, similar to stocks
C. They are subject to a flat tax rate, regardless of the income they generate
D. They are restricted to investing in government bonds and cannot hold equity investments

Reveal Solution Discussion 0

Correct Answer: A 🗳️

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Question #3

A compliance officer at an Investment Dealer notices a significant increase in trades of low-liquidity stocks. What is the most likely compliance issue?

A. Failure to file taxes on the proceeds from the trades
B. Inaccurate records of the trades executed
C. Insufficient diversification in the client's portfolio
D. Potential market manipulation or insider trading

Reveal Solution Discussion 0

Correct Answer: D 🗳️

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Question #4

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 cancel the order as per the client's request, regardless of the execution status
B. The dealer should try to reverse the trade as soon as possible by executing a new opposing trade
C. The dealer should inform the client they need to file a request with the exchange to cancel order
D. The dealer should inform the client that the order has already been executed and that it cannot be undone

Reveal Solution Discussion 0

Correct Answer: D 🗳️

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Question #5

In Canada, what framework is primarily used to group industries based on similar business activities?