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 |
|---|---|---|
| Conflicts of interest and ethics | 15% | - CIRO and other ethical standards of conduct - Inappropriate or prohibited personal financial dealings with clients - Ethical and legal responsibilities to clients - Information controls, barriers, firewalls and restricted lists - Importance of managing conflicts of interest - Conflicts of interest management process - Role of cybersecurity in protecting confidential information - Client confidentiality policies and procedures - Activities outside an Investment Dealer - Importance of ethics and its relationship to rules - Ethical principles and standards of conduct for Approved Persons and Investment Dealers - Requirements regarding positions of influence |
| Prospective client relationships | 10% | - Required account agreement and Firm Welcome package documents - Role of cost in product selection - Investment Dealer onboarding process - Client relationship model - Retail client information collection - Exemptions under National Instrument 45-106 - Client record documentation, filing and maintenance - Impact of fees, turnover and taxes on investment returns - Third parties and other professionals in the client's life - Institutional client qualification requirements - Differences between retail and institutional clients |
| Scope of client relationships | 15% | - Role of the Registered Representative in providing client service - Investment performance benchmarks - Purpose and content of relationship disclosure - Know-your-product obligations - Trust, agency and fiduciary duty - Systematic approaches to investment management and investment strategies - Role of the Investment Representative in providing client service - Exemptions from suitability determination requirements - Suitability determination requirements for retail clients - Product due diligence obligations - Requirements for working with clients in the United States and other foreign jurisdictions - Typical services provided by institutional Investment Dealers - Institutional client sophistication assessment and suitability exemptions - Account appropriateness versus suitability determination - Internal escalation procedures and subject matter experts - Account appropriateness obligations - Typical services provided by retail Investment Dealers |
| Client complaint handling and reporting | 5% | - Policies and procedures for reporting, handling and maintaining complaint records - Investment Dealer obligations to clients - Recourse available to dissatisfied clients - Prohibited practices in client settlement agreements - Investment Dealer complaint reporting obligations and penalties - Potential client issues, liability and consequences - Role of CIRO and provincial regulators in the complaints handling framework |
| Derivatives | 5% | - Basic uses of derivatives - Prohibited derivative trading practices - Administrative requirements for derivative trading with clients - Basic transactional elements of futures and options - Listed versus over-the-counter derivative markets - Features of options contract types - Single and multi-legged derivative trading strategies - Features of other derivative contract types |
| Overview of Canadian securities regulatory framework | 10% | - Investment Dealer registration and individual approval requirements - Purpose and implications of the Bank Act and Bankruptcy and Insolvency Act - Role and authority of the Canadian Securities Administrators and provincial and territorial securities and derivatives regulators - Other applicable laws including confidentiality, privacy, anti-spam, company disclosure and shareholder rights - 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 - Anti-money laundering and anti-terrorist financing legislation and regulations - Function and purpose of other investment industry regulators and agencies - Criminal Code and its application to financial crime - Function and purpose of clearing agencies |
| Market integrity, trade execution and settlement | 12% | - Order confirmation requirements - Functions of investment banking, research and corporate finance - Features of different account types - Specialized trading agreements for derivative accounts - Margin requirements - Order entry, trade management, settlement and delivery - Reporting obligations to firms and regulators - UMIR gatekeeping obligations - Order variations, cancellations and corrections - Features of different order types - Gatekeeping requirements for manipulative and deceptive practices, unacceptable activities and front running - Universal Market Integrity Rules |
| Market and company analysis | 8% | - Industry performance analysis - Technical and statistical analysis tools and information sources - Basic economic theories - Factors influencing the macroeconomy - Effects of macroeconomic factors on financial markets - Economic indicators and sources of information - Company performance analysis tools - Basic market theories and stock market behaviour - Rules relating to companies |
| Securities, managed products, mutual funds and other investments | 19% | - Types, features, risks and returns of fixed income securities and products - Considerations affecting equity investors and potential shareholders - Types of pooled products - Considerations affecting managed product investors - Considerations affecting exchange-traded fund investors - Types, features, risks and returns of equities - Other investments including hedge funds, structured products, alternative investment funds, crypto assets and ESG-related products - Considerations affecting fixed income investors - Asset classes generally sold and traded at an Investment Dealer - Features, risks and returns of managed products - Considerations affecting mutual fund investors - Purpose and uses of market indices |
CIRO Canadian Investment Regulatory Sample Questions:
How are new Canadian government bonds typically issued to the market?
- A. At a set rate offered to institutions with the highest bids
- B. By auction where Investment Dealers bid based on the yield
- C. Through direct sales to retail investors at a posted price
- D. By private placement agreements with institutional brokers
Correct Answer: B 🗳️
Explanation: Only visible for ITPassLeader members. You can sign-up / login (it's free).
A Registered Representative (RR) determines that an investment strategy is not suitable for a retail client. The client decides that they want to invest anyway. Which of the following should the RR do?
- A. Report the request as an unacceptable trade
- B. Seek advice from a self-regulatory authority
- C. Refuse to undertake the investment strategy
- D. Recommend an alternative action that is suitable
Correct Answer: D 🗳️
Hedge fund is required to disclose certain information to investors. What is a key feature of these disclosure requirements in most jurisdictions?
- A. Immediate reporting of daily performance to regulatory bodies
- B. Limited disclosure aimed at accredited or institutional investors
- C. Disclosure of detailed investment strategies to all potential investors
- D. Full public transparency of portfolio holdings
Correct Answer: B 🗳️
Explanation: Only visible for ITPassLeader 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. Buy a security or a derivative to be executed upon entry to a marketplace at the best ask price
- C. Buy a security or derivative to be executed at a specified maximum price
- D. An order that includes a client order as well as a non-client order or principal order, or both
Correct Answer: B 🗳️
Explanation: Only visible for ITPassLeader members. You can sign-up / login (it's free).
An employee or Approved Person must not engage in any personal financial dealings with clients.
Which of the following is least likely to be a prohibited dealing?
- A. Paying client account losses out of personal funds
- B. Providing discretionary investment management services to the client
- C. Lending money to or borrowing from a client
- D. Accepting personal consideration or remuneration from the client
Correct Answer: B 🗳️
Explanation: Only visible for ITPassLeader members. You can sign-up / login (it's free).
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