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CIRO CIRE Exam Syllabus Topics:

Section	Weight	Objectives
Topic 1: Derivatives	5%	- Single and multi-legged derivative trading strategies - Features of options contract types - Features of other derivative contract types - Basic uses of derivatives - Prohibited derivative trading practices - Listed versus over-the-counter derivative markets - Administrative requirements for derivative trading with clients - Basic transactional elements of futures and options
Topic 2: Conflicts of interest and ethics	15%	- Importance of managing conflicts of interest - Ethical and legal responsibilities to clients - Requirements regarding positions of influence - Information controls, barriers, firewalls and restricted lists - Ethical principles and standards of conduct for Approved Persons and Investment Dealers - Activities outside an Investment Dealer - CIRO and other ethical standards of conduct - Importance of ethics and its relationship to rules - Inappropriate or prohibited personal financial dealings with clients - Conflicts of interest management process - Client confidentiality policies and procedures - Role of cybersecurity in protecting confidential information
Topic 3: Market integrity, trade execution and settlement	12%	- Order entry, trade management, settlement and delivery - Gatekeeping requirements for manipulative and deceptive practices, unacceptable activities and front running - Features of different order types - Functions of investment banking, research and corporate finance - UMIR gatekeeping obligations - Order confirmation requirements - Specialized trading agreements for derivative accounts - Reporting obligations to firms and regulators - Features of different account types - Universal Market Integrity Rules - Margin requirements - Order variations, cancellations and corrections
Topic 4: Overview of Canadian securities regulatory framework	10%	- Function and purpose of other investment industry regulators and agencies - Purpose and implications of the Bank Act and Bankruptcy and Insolvency Act - Criminal Code and its application to financial crime - Anti-money laundering and anti-terrorist financing legislation and regulations - Other applicable laws including confidentiality, privacy, anti-spam, company disclosure and shareholder rights - Investment Dealer registration and individual approval requirements - Function and purpose of clearing agencies - Role and authority of the Canadian Investment Regulatory Organization - Function and purpose of the Canadian Investor Protection Fund - Function and purpose of investment industry marketplaces - Role and authority of the Canadian Securities Administrators and provincial and territorial securities and derivatives regulators
Topic 5: Securities, managed products, mutual funds and other investments	19%	- Types of pooled products - Types, features, risks and returns of fixed income securities and products - Considerations affecting managed product investors - Considerations affecting exchange-traded fund investors - Considerations affecting mutual fund investors - Other investments including hedge funds, structured products, alternative investment funds, crypto assets and ESG-related products - Considerations affecting fixed income investors - Purpose and uses of market indices - Asset classes generally sold and traded at an Investment Dealer - Types, features, risks and returns of equities - Considerations affecting equity investors and potential shareholders - Features, risks and returns of managed products
Topic 6: Client complaint handling and reporting	5%	- Policies and procedures for reporting, handling and maintaining complaint records - Investment Dealer complaint reporting obligations and penalties - Potential client issues, liability and consequences - Recourse available to dissatisfied clients - Role of CIRO and provincial regulators in the complaints handling framework - Investment Dealer obligations to clients - Prohibited practices in client settlement agreements
Topic 7: Market and company analysis	8%	- Rules relating to companies - Economic indicators and sources of information - Effects of macroeconomic factors on financial markets - Industry performance analysis - Basic economic theories - Basic market theories and stock market behaviour - Factors influencing the macroeconomy - Company performance analysis tools - Technical and statistical analysis tools and information sources
Topic 8: Scope of client relationships	15%	- Account appropriateness versus suitability determination - Investment performance benchmarks - Role of the Registered Representative in providing client service - Typical services provided by institutional Investment Dealers - Internal escalation procedures and subject matter experts - Systematic approaches to investment management and investment strategies - Account appropriateness obligations - Typical services provided by retail Investment Dealers - Exemptions from suitability determination requirements - Know-your-product obligations - Requirements for working with clients in the United States and other foreign jurisdictions - Trust, agency and fiduciary duty - Suitability determination requirements for retail clients - Product due diligence obligations - Institutional client sophistication assessment and suitability exemptions - Purpose and content of relationship disclosure - Role of the Investment Representative in providing client service
Topic 9: Prospective client relationships	10%	- Investment Dealer onboarding process - Third parties and other professionals in the client's life - Required account agreement and Firm Welcome package documents - Client relationship model - Exemptions under National Instrument 45-106 - Institutional client qualification requirements - Role of cost in product selection - Client record documentation, filing and maintenance - Differences between retail and institutional clients - Impact of fees, turnover and taxes on investment returns - Retail client information collection

CIRO Canadian Investment Regulatory Sample Questions:

Question #1

What is the purpose of an Investment Dealer obtaining the contact information of a trusted contact person?

A. To obtain investment advice from the trusted contact person
B. To address potential concerns regarding financial exploitation of the client
C. To serve as a legal representative for the client
D. To bypass the client's decision-making authority in financial matters

Reveal Solution Discussion 0

Correct Answer: B 🗳️