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 |
|---|---|---|
| Market integrity, trade execution and settlement | 12% | - Order entry, trade management, settlement and delivery - Order variations, cancellations and corrections - Features of different order types - UMIR gatekeeping obligations - Functions of investment banking, research and corporate finance - Gatekeeping requirements for manipulative and deceptive practices, unacceptable activities and front running - Order confirmation requirements - Features of different account types - Reporting obligations to firms and regulators - Margin requirements - Universal Market Integrity Rules - Specialized trading agreements for derivative accounts |
| Prospective client relationships | 10% | - Client record documentation, filing and maintenance - Investment Dealer onboarding process - Institutional client qualification requirements - Retail client information collection - Differences between retail and institutional clients - Third parties and other professionals in the client's life - Impact of fees, turnover and taxes on investment returns - Client relationship model - Role of cost in product selection - Required account agreement and Firm Welcome package documents - Exemptions under National Instrument 45-106 |
| Scope of client relationships | 15% | - Know-your-product obligations - Product due diligence obligations - Exemptions from suitability determination requirements - Internal escalation procedures and subject matter experts - Systematic approaches to investment management and investment strategies - Trust, agency and fiduciary duty - Typical services provided by retail Investment Dealers - Typical services provided by institutional Investment Dealers - Requirements for working with clients in the United States and other foreign jurisdictions - Investment performance benchmarks - Suitability determination requirements for retail clients - Institutional client sophistication assessment and suitability exemptions - Purpose and content of relationship disclosure - Role of the Registered Representative in providing client service - Role of the Investment Representative in providing client service - Account appropriateness versus suitability determination - Account appropriateness obligations |
| Derivatives | 5% | - Features of other derivative contract types - Basic transactional elements of futures and options - Listed versus over-the-counter derivative markets - Features of options contract types - Basic uses of derivatives - Single and multi-legged derivative trading strategies - Administrative requirements for derivative trading with clients - Prohibited derivative trading practices |
| Overview of Canadian securities regulatory framework | 10% | - Investment Dealer registration and individual approval requirements - Function and purpose of other investment industry regulators and agencies - Purpose and implications of the Bank Act and Bankruptcy and Insolvency Act - Function and purpose of clearing agencies - Other applicable laws including confidentiality, privacy, anti-spam, company disclosure and shareholder rights - Function and purpose of the Canadian Investor Protection Fund - Anti-money laundering and anti-terrorist financing legislation and regulations - Function and purpose of investment industry marketplaces - Role and authority of the Canadian Securities Administrators and provincial and territorial securities and derivatives regulators - Role and authority of the Canadian Investment Regulatory Organization - Criminal Code and its application to financial crime |
| Securities, managed products, mutual funds and other investments | 19% | - Considerations affecting equity investors and potential shareholders - Types of pooled products - Features, risks and returns of managed products - Types, features, risks and returns of equities - Purpose and uses of market indices - Considerations affecting exchange-traded fund investors - Considerations affecting mutual fund investors - Considerations affecting fixed income investors - Asset classes generally sold and traded at an Investment Dealer - Types, features, risks and returns of fixed income securities and products - Considerations affecting managed product investors - Other investments including hedge funds, structured products, alternative investment funds, crypto assets and ESG-related products |
| Market and company analysis | 8% | - Company performance analysis tools - Economic indicators and sources of information - Effects of macroeconomic factors on financial markets - Basic economic theories - Basic market theories and stock market behaviour - Industry performance analysis - Technical and statistical analysis tools and information sources - Rules relating to companies - Factors influencing the macroeconomy |
| Client complaint handling and reporting | 5% | - Role of CIRO and provincial regulators in the complaints handling framework - 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 - Potential client issues, liability and consequences - Investment Dealer complaint reporting obligations and penalties |
| Conflicts of interest and ethics | 15% | - Requirements regarding positions of influence - Importance of ethics and its relationship to rules - Importance of managing conflicts of interest - Inappropriate or prohibited personal financial dealings with clients - Ethical principles and standards of conduct for Approved Persons and Investment Dealers - Client confidentiality policies and procedures - Information controls, barriers, firewalls and restricted lists - CIRO and other ethical standards of conduct - Ethical and legal responsibilities to clients - Role of cybersecurity in protecting confidential information - Conflicts of interest management process - Activities outside an Investment Dealer |
CIRO Canadian Investment Regulatory Sample Questions:
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 inform the client that the order has already been executed and that it cannot be undone
- 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 cancel the order as per the client's request, regardless of the execution status
Correct Answer: A 🗳️
Explanation: Only visible for 2Pass4sure members. You can sign-up / login (it's free).
What type of trading involves the use of algorithms to execute orders?
- A. Trading strategies that are driven by market behaviours
- B. Manual stock selection based on fundamental and technical analysis
- C. Automated trading using mathematical models
- D. Broker-executed trades based on dealer recommendations
Correct Answer: C 🗳️
Explanation: Only visible for 2Pass4sure members. You can sign-up / login (it's free).
Which of the following could be a market order?
- A. An order for the purchase or sale of a listed or a quoted security at the closing sale price
- B. An order that includes a client order as well as a non-client order or principal order, or both
- C. Buy a security or derivative to be executed at a specified maximum price
- D. Buy a security or a derivative to be executed upon entry to a marketplace at the best ask price
Correct Answer: D 🗳️
Explanation: Only visible for 2Pass4sure members. You can sign-up / login (it's free).
An investment firm has a differential commission structure which rewards particular types of accounts.
What must an advisor do when recommending new accounts to clients?
- A. Recommend the account type that offers the advisor the highest commission to maximize personal earnings
- B. Avoid recommending the accounts that reward higher commissions to prevent conflicts of interest
- C. Disclose the differential commission structure and ensure that the recommendation is in the client's best interest
- D. Automatically recommend the account type with the lowest fees to avoid any perceived bias
Correct Answer: C 🗳️
Explanation: Only visible for 2Pass4sure members. You can sign-up / login (it's free).
Where would a retail client of an Investment Dealer find a description of its complaint handling procedures?
- A. The Account Opening Agreement
- B. The know-your-client (KYC) Information Form
- C. The Relationship Disclosure
- D. The Fee Disclosure Document
Correct Answer: C 🗳️
Explanation: Only visible for 2Pass4sure members. You can sign-up / login (it's free).
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