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CIRO CIRE Exam Syllabus Topics:

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

CIRO Canadian Investment Regulatory Sample Questions:

Question #1

Which of the following best describes the key difference between a call option and a put option in an options contract?

A. A call option lets the holder sell, and a put option lets the holder buy, an asset at a set price
B. A call option allows the holder to buy, while a put option allows the holder to sell, at a fixed price
C. A call option gives the holder the right to sell an asset; a put option allows buying at market price
D. A call option buys at a fixed price; a put option gives the holder rights to future dividends

Reveal Solution Discussion 0

Correct Answer: B 🗳️