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CIRO CIRE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Scope of client relationships | 15% | - Typical services provided by institutional Investment Dealers - Role of the Investment Representative in providing client service - Product due diligence obligations - Role of the Registered Representative in providing client service - Typical services provided by retail Investment Dealers - Systematic approaches to investment management and investment strategies - Purpose and content of relationship disclosure - Account appropriateness versus suitability determination - Trust, agency and fiduciary duty - Investment performance benchmarks - Know-your-product obligations - Suitability determination requirements for retail clients - Requirements for working with clients in the United States and other foreign jurisdictions - Account appropriateness obligations - Institutional client sophistication assessment and suitability exemptions - Exemptions from suitability determination requirements - Internal escalation procedures and subject matter experts |
| Market and company analysis | 8% | - Effects of macroeconomic factors on financial markets - Technical and statistical analysis tools and information sources - Industry performance analysis - Rules relating to companies - Factors influencing the macroeconomy - Basic market theories and stock market behaviour - Company performance analysis tools - Basic economic theories - Economic indicators and sources of information |
| Securities, managed products, mutual funds and other investments | 19% | - Other investments including hedge funds, structured products, alternative investment funds, crypto assets and ESG-related products - Types of pooled products - Considerations affecting managed product investors - Considerations affecting mutual fund investors - Considerations affecting equity investors and potential shareholders - Purpose and uses of market indices - Features, risks and returns of managed products - Types, features, risks and returns of fixed income securities and products - Considerations affecting fixed income investors - Types, features, risks and returns of equities - Asset classes generally sold and traded at an Investment Dealer - Considerations affecting exchange-traded fund investors |
| Client complaint handling and reporting | 5% | - Recourse available to dissatisfied clients - Prohibited practices in client settlement agreements - Role of CIRO and provincial regulators in the complaints handling framework - Policies and procedures for reporting, handling and maintaining complaint records - Potential client issues, liability and consequences - Investment Dealer complaint reporting obligations and penalties - Investment Dealer obligations to clients |
| Market integrity, trade execution and settlement | 12% | - Margin requirements - Specialized trading agreements for derivative accounts - Features of different account types - Order confirmation requirements - UMIR gatekeeping obligations - Order entry, trade management, settlement and delivery - Gatekeeping requirements for manipulative and deceptive practices, unacceptable activities and front running - Functions of investment banking, research and corporate finance - Order variations, cancellations and corrections - Features of different order types - Universal Market Integrity Rules - Reporting obligations to firms and regulators |
| Derivatives | 5% | - Prohibited derivative trading practices - Features of other derivative contract types - Basic uses of derivatives - Basic transactional elements of futures and options - Administrative requirements for derivative trading with clients - Single and multi-legged derivative trading strategies - Features of options contract types - Listed versus over-the-counter derivative markets |
| Prospective client relationships | 10% | - Role of cost in product selection - Retail client information collection - Impact of fees, turnover and taxes on investment returns - Required account agreement and Firm Welcome package documents - Investment Dealer onboarding process - Exemptions under National Instrument 45-106 - Differences between retail and institutional clients - Client record documentation, filing and maintenance - Client relationship model - Third parties and other professionals in the client's life - Institutional client qualification requirements |
| Overview of Canadian securities regulatory framework | 10% | - Anti-money laundering and anti-terrorist financing legislation and regulations - Function and purpose of investment industry marketplaces - Other applicable laws including confidentiality, privacy, anti-spam, company disclosure and shareholder rights - Criminal Code and its application to financial crime - Function and purpose of clearing agencies - Purpose and implications of the Bank Act and Bankruptcy and Insolvency Act - Function and purpose of the Canadian Investor Protection Fund - Function and purpose of other investment industry regulators and agencies - Role and authority of the Canadian Investment Regulatory Organization - Investment Dealer registration and individual approval requirements - Role and authority of the Canadian Securities Administrators and provincial and territorial securities and derivatives regulators |
| Conflicts of interest and ethics | 15% | - Client confidentiality policies and procedures - Conflicts of interest management process - Information controls, barriers, firewalls and restricted lists - Importance of ethics and its relationship to rules - Role of cybersecurity in protecting confidential information - Ethical principles and standards of conduct for Approved Persons and Investment Dealers - Ethical and legal responsibilities to clients - Activities outside an Investment Dealer - Inappropriate or prohibited personal financial dealings with clients - CIRO and other ethical standards of conduct - Requirements regarding positions of influence - Importance of managing conflicts of interest |
CIRO Canadian Investment Regulatory Sample Questions:
Which of the following statements best describes the benefit of holding a cumulative preferred share?
- A. It accumulates interest on missed dividends until they are paid
- B. It allows unpaid dividends to accumulate and be paid with priority
- C. It allows companies to accumulate redemption rights over a set time
- D. It accumulates voting rights regardless of dividend payment status
Correct Answer: B 🗳️
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Which method is typically used to calculate the value of most equity indices?
- A. Adding stock prices of included companies divided by total number of companies
- B. Using a weighted average based on the market capitalization of each company
- C. Using the median stock price of the included companies for index calculation
- D. Adding dividend yields of included companies divided by total number of companies
Correct Answer: B 🗳️
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An Investment Dealer wants to set up and operate a new alternative trading system (ATS). What must they ensure to be compliant?
- A. Secure Canadian Securities Administrators (CSA) recognition as a regulated marketplace
- B. Limit trading to domestic securities
- C. Restrict ATS access to institutional investors
- D. Notify the Financial Transactions and Reports Analysis Centre of Canada (FINTRAC) of all client transactions
Correct Answer: A 🗳️
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What is the Investment Dealer's obligation regarding cost discussions for deferred sales charge products?
- A. Avoid discussing deferred charges as they are managed by the fund provider
- B. Explain upfront the potential charges triggered by early redemption
- C. Disclose the deferred charges when they are going to be triggered
- D. Deferred sales charges only apply to institutional clients
Correct Answer: B 🗳️
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In relation to suitability which of the following is true?
- A. There may be multiple recommendations that prioritize both client and dealer interests
- B. There may be multiple suitable recommendations that put the client's interest first
- C. There can only be one suitable recommendation that puts the client's interest first
- D. There can only be one suitable recommendation balancing client and dealer interests
Correct Answer: B 🗳️
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