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 |
|---|---|---|
| Scope of client relationships | 15% | - Trust, agency and fiduciary duty - Know-your-product requirements - Relationship disclosure - Retail Investment Dealer services - Investment performance benchmarks - Account appropriateness versus suitability - Investment management styles and strategies - Account appropriateness - Institutional Investment Dealer services - Clients residing in the United States and other foreign jurisdictions - Registered Representative role and client service - Product due diligence - Escalation to subject matter experts - Investment Representative role and client service - Client suitability determination - Suitability exemptions - Institutional client sophistication and suitability exemptions |
| Client complaint handling and reporting | 5% | - Client recourse options - Investment Dealer complaint reporting obligations - CIRO and provincial regulator roles in complaint handling - Investment Dealer obligations to clients - Settlement agreements with clients - Complaint policies, procedures and recordkeeping - Client issues and potential liability |
| Market and company analysis | 8% | - Basic economic theories - Economic information and indicators - Macroeconomic effects on financial markets - Macroeconomic factors and policies - Industry performance analysis - Company regulation, disclosure and investor rights - Company performance analysis - Market theories and stock market behaviour - Technical and statistical analysis tools |
| Securities, managed products, mutual funds and other investments | 19% | - Market indices - Managed product investment considerations - Equities - Equity investment considerations - Fixed income securities and products - Exchange-traded funds - Managed products - Mutual funds - Asset classes - Pooled products - Fixed income investment considerations - Other investments |
| Overview of Canadian securities regulatory framework | 10% | - Criminal Code and financial crime - Bank Act and Bankruptcy and Insolvency Act - Marketplaces and trading venues - Role and authority of the Canadian Securities Administrators and provincial/territorial securities and derivatives regulators - Anti-money laundering requirements - Confidentiality, privacy, anti-spam and shareholder rights legislation - Other investment industry regulators and agencies - Investment Dealer registration and individual approval requirements - Clearing agencies - Canadian Investor Protection Fund - Role and authority of the Canadian Investment Regulatory Organization |
| Market integrity, trade execution and settlement | 12% | - Universal Market Integrity Rules - Investment banking, research and corporate finance - Margin requirements - Order variations, cancellations and corrections - Reporting obligations - UMIR gatekeeping obligations - Order entry, trade processing, settlement and delivery - Account types - Gatekeeping for manipulative and deceptive practices - Order types - Order confirmation requirements - Derivative trading agreements |
| Prospective client relationships | 10% | - Accredited investors and exemptions - Institutional client qualification - Costs, fees, turnover and taxes - Retail client information and risk profile - Client recordkeeping - Account agreements and welcome documentation - Retail and institutional clients - Third parties and professional advisers - Investment Dealer onboarding process - Client relationship model |
| Conflicts of interest and ethics | 15% | - Cybersecurity and confidential information - Managing conflicts of interest - Positions of influence - Ethical and legal responsibilities to clients - Information barriers and restricted lists - Ethics and regulatory rules - Ethical principles and standards of conduct - CIRO and other ethical standards - Outside activities of Approved Persons - Personal financial dealings with clients - Client confidentiality - Conflict identification, avoidance, addressing and disclosure |
| Derivatives | 5% | - Transactional elements of futures and options - Options - Listed and over-the-counter derivatives markets - Uses of derivatives - Prohibited derivative trading practices - Futures, forwards, swaps and contracts for difference - Derivative trading strategies - Derivative account administration |
CIRO Canadian Investment Regulatory Sample Questions:
When must costs associated with an investment product be disclosed to a client?
- A. Disclosure of costs is optional if the product exceeds its benchmark
- B. During the initial onboarding process and when recommending products
- C. Only when the client requests specific information about costs
- D. In the transaction confirmation after the product has been purchased
Correct Answer: B 🗳️
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What impact do investor expectations about future interest rate changes typically have on the prices of fixed-income securities?
- A. Expectations of rising interest rates generally increase the prices of fixed-income securities
- B. Expectations about interest rates only affect the prices of equity markets, not fixed-income securities
- C. Expectations about interest rates have no impact on the prices of fixed-income securities
- D. Expectations of falling interest rates generally increase the prices of fixed-income securities
Correct Answer: D 🗳️
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What is the purpose of the Canadian Anti-Spam Legislation (CASL)?
- A. To block unsolicited commercial messages without consent
- B. To regulate the use of electronic signatures
- C. To oversee securities-related email marketing campaigns
- D. To ensure compliance with privacy law in email communications
Correct Answer: A 🗳️
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What is the Investment Dealer's obligation regarding cost discussions for deferred sales charge products?
- A. Explain upfront the potential charges triggered by early redemption
- B. Disclose the deferred charges when they are going to be triggered
- C. Avoid discussing deferred charges as they are managed by the fund provider
- D. Deferred sales charges only apply to institutional clients
Correct Answer: A 🗳️
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Investment Dealers must provide relationship disclosure to which of the following types of clients?
- A. All clients except Institutional Clients
- B. All clients except Retail Clients
- C. All clients except non-discretionary clients
- D. All clients except managed clients
Correct Answer: A 🗳️
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