Exam Name: Canadian Investment Regulatory Exam
Certification Provider: CIRO
Corresponding Certification: Canadian Investment Regulatory
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CIRO CIRE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Client complaint handling and reporting | 5% | - Potential client issues, liability and consequences - Role of CIRO and provincial regulators in the complaints handling framework - Investment Dealer obligations to clients - Prohibited practices in client settlement agreements - Recourse available to dissatisfied clients - Investment Dealer complaint reporting obligations and penalties - Policies and procedures for reporting, handling and maintaining complaint records |
| Derivatives | 5% | - Basic transactional elements of futures and options - Single and multi-legged derivative trading strategies - Listed versus over-the-counter derivative markets - Features of options contract types - Basic uses of derivatives - Prohibited derivative trading practices - Administrative requirements for derivative trading with clients - Features of other derivative contract types |
| Market and company analysis | 8% | - Basic market theories and stock market behaviour - Economic indicators and sources of information - Rules relating to companies - Effects of macroeconomic factors on financial markets - Factors influencing the macroeconomy - Industry performance analysis - Technical and statistical analysis tools and information sources - Company performance analysis tools - Basic economic theories |
| Prospective client relationships | 10% | - Third parties and other professionals in the client's life - Differences between retail and institutional clients - Client record documentation, filing and maintenance - Exemptions under National Instrument 45-106 - Required account agreement and Firm Welcome package documents - Role of cost in product selection - Retail client information collection - Investment Dealer onboarding process - Impact of fees, turnover and taxes on investment returns - Institutional client qualification requirements - Client relationship model |
| Securities, managed products, mutual funds and other investments | 19% | - Considerations affecting fixed income investors - Considerations affecting mutual fund investors - Considerations affecting exchange-traded fund investors - Asset classes generally sold and traded at an Investment Dealer - Types of pooled products - Other investments including hedge funds, structured products, alternative investment funds, crypto assets and ESG-related products - Types, features, risks and returns of fixed income securities and products - Features, risks and returns of managed products - Purpose and uses of market indices - Considerations affecting managed product investors - Considerations affecting equity investors and potential shareholders - Types, features, risks and returns of equities |
| Scope of client relationships | 15% | - Investment performance benchmarks - Account appropriateness versus suitability determination - Suitability determination requirements for retail clients - Requirements for working with clients in the United States and other foreign jurisdictions - Role of the Registered Representative in providing client service - Typical services provided by retail Investment Dealers - Trust, agency and fiduciary duty - Exemptions from suitability determination requirements - Purpose and content of relationship disclosure - Systematic approaches to investment management and investment strategies - Product due diligence obligations - Account appropriateness obligations - Internal escalation procedures and subject matter experts - Institutional client sophistication assessment and suitability exemptions - Typical services provided by institutional Investment Dealers - Role of the Investment Representative in providing client service - Know-your-product obligations |
| Overview of Canadian securities regulatory framework | 10% | - Function and purpose of other investment industry regulators and agencies - 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 - Function and purpose of investment industry marketplaces - Criminal Code and its application to financial crime - Purpose and implications of the Bank Act and Bankruptcy and Insolvency Act - Function and purpose of clearing agencies - Anti-money laundering and anti-terrorist financing legislation and regulations - Investment Dealer registration and individual approval requirements - Role and authority of the Canadian Investment Regulatory Organization - Other applicable laws including confidentiality, privacy, anti-spam, company disclosure and shareholder rights |
| Market integrity, trade execution and settlement | 12% | - Order variations, cancellations and corrections - Functions of investment banking, research and corporate finance - UMIR gatekeeping obligations - Features of different account types - Features of different order types - Order confirmation requirements - Reporting obligations to firms and regulators - Specialized trading agreements for derivative accounts - Gatekeeping requirements for manipulative and deceptive practices, unacceptable activities and front running - Order entry, trade management, settlement and delivery - Universal Market Integrity Rules - Margin requirements |
| Conflicts of interest and ethics | 15% | - Role of cybersecurity in protecting confidential information - Inappropriate or prohibited personal financial dealings with clients - CIRO and other ethical standards of conduct - Requirements regarding positions of influence - Ethical and legal responsibilities to clients - Importance of ethics and its relationship to rules - Importance of managing conflicts of interest - Information controls, barriers, firewalls and restricted lists - Client confidentiality policies and procedures - Activities outside an Investment Dealer - Conflicts of interest management process - Ethical principles and standards of conduct for Approved Persons and Investment Dealers |
CIRO Canadian Investment Regulatory Sample Questions:
1. Which of the following outlines how securities firms must handle client assets when facing financial failure?
A) Bank Act, Part V
B) Universal Market Integrity Rules (UMIR)
C) Bankruptcy and Insolvency Act, Part XII
D) Canadian Investor Protection Fund (CIPF) Guidelines
2. An investment advisor is considering recommending a pooled fund to a client. Which of the following is a characteristic of pooled funds?
A) The fund pools money from multiple investors to invest in a diversified portfolio
B) The client has full control over individual security selection within the fund
C) The fund typically charges a flat fee regardless of the client's contribution size
D) The client owns individual securities within the pool
3. What is the best course of action if an Investment Representative (IR) discovers a colleague engaging in what appears to be unethical behaviour?
A) Ignore the behaviour to avoid potential conflict
B) Report it immediately to the regulatory authorities
C) Confront the colleague privately to let them know
D) Report the activity to the appropriate firm authority
4. What is the most likely consequence if an Investment Dealer breaches CIRO rules?
A) Inability to onboard institutional investors
B) Increased risk of regulatory penalties
C) Client accounts being frozen
D) External monitor appointed to oversee
5. What is the function of the Canadian Securities Administrators (CSA) in regulating alternative trading systems (ATS)?
A) To regulate the conduct of individual Investment Dealers on ATS platforms
B) To ensure ATS platforms comply with securities laws and maintain transparency
C) To manage the clearing and settlement of trades executed on ATS
D) To approve all trades placed and executed on ATS platforms
Solutions:
| Question # 1 Answer: C | Question # 2 Answer: A | Question # 3 Answer: D | Question # 4 Answer: B | Question # 5 Answer: B |
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