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CIRO CIRE Exam Syllabus Topics:

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

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 🗳️