- Exam Code: CIRE
- 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 |
|---|---|---|
| Prospective client relationships | 10% | - Exemptions under National Instrument 45-106 - Required account agreement and Firm Welcome package documents - Retail client information collection - Client relationship model - Institutional client qualification requirements - Client record documentation, filing and maintenance - Third parties and other professionals in the client's life - Differences between retail and institutional clients - Investment Dealer onboarding process - Role of cost in product selection - Impact of fees, turnover and taxes on investment returns |
| Overview of Canadian securities regulatory framework | 10% | - Function and purpose of clearing agencies - Purpose and implications of the Bank Act and Bankruptcy and Insolvency Act - Role and authority of the Canadian Investment Regulatory Organization - Anti-money laundering and anti-terrorist financing legislation and regulations - Function and purpose of the Canadian Investor Protection Fund - Function and purpose of investment industry marketplaces - Investment Dealer registration and individual approval requirements - Criminal Code and its application to financial crime - Function and purpose of other investment industry regulators and agencies - 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 |
| Scope of client relationships | 15% | - Account appropriateness versus suitability determination - Requirements for working with clients in the United States and other foreign jurisdictions - Product due diligence obligations - Role of the Registered Representative in providing client service - Investment performance benchmarks - Institutional client sophistication assessment and suitability exemptions - Internal escalation procedures and subject matter experts - Role of the Investment Representative in providing client service - Suitability determination requirements for retail clients - Typical services provided by institutional Investment Dealers - Account appropriateness obligations - Know-your-product obligations - Purpose and content of relationship disclosure - Typical services provided by retail Investment Dealers - Exemptions from suitability determination requirements - Trust, agency and fiduciary duty - Systematic approaches to investment management and investment strategies |
| Conflicts of interest and ethics | 15% | - Ethical and legal responsibilities to clients - Ethical principles and standards of conduct for Approved Persons and Investment Dealers - CIRO and other ethical standards of conduct - Role of cybersecurity in protecting confidential information - Requirements regarding positions of influence - Importance of ethics and its relationship to rules - Information controls, barriers, firewalls and restricted lists - Inappropriate or prohibited personal financial dealings with clients - Conflicts of interest management process - Importance of managing conflicts of interest - Activities outside an Investment Dealer - Client confidentiality policies and procedures |
| Derivatives | 5% | - Basic uses of derivatives - Listed versus over-the-counter derivative markets - Prohibited derivative trading practices - Features of options contract types - Basic transactional elements of futures and options - Features of other derivative contract types - Administrative requirements for derivative trading with clients - Single and multi-legged derivative trading strategies |
| Client complaint handling and reporting | 5% | - 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 - Prohibited practices in client settlement agreements - Recourse available to dissatisfied clients - Investment Dealer obligations to clients |
| Market integrity, trade execution and settlement | 12% | - Features of different order types - Reporting obligations to firms and regulators - Universal Market Integrity Rules - Order entry, trade management, settlement and delivery - Order variations, cancellations and corrections - Order confirmation requirements - Specialized trading agreements for derivative accounts - Features of different account types - Functions of investment banking, research and corporate finance - Gatekeeping requirements for manipulative and deceptive practices, unacceptable activities and front running - Margin requirements - UMIR gatekeeping obligations |
| Securities, managed products, mutual funds and other investments | 19% | - Types, features, risks and returns of fixed income securities and products - Purpose and uses of market indices - 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 equities - Considerations affecting exchange-traded fund investors - Asset classes generally sold and traded at an Investment Dealer - Considerations affecting managed product investors - Considerations affecting mutual fund investors - Features, risks and returns of managed products - Considerations affecting fixed income investors - Considerations affecting equity investors and potential shareholders |
| Market and company analysis | 8% | - Basic economic theories - Factors influencing the macroeconomy - Technical and statistical analysis tools and information sources - Basic market theories and stock market behaviour - Industry performance analysis - Company performance analysis tools - Economic indicators and sources of information - Rules relating to companies - Effects of macroeconomic factors on financial markets |
CIRO Canadian Investment Regulatory Sample Questions:
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 typically charges a flat fee regardless of the client's contribution size
- B. The fund pools money from multiple investors to invest in a diversified portfolio
- C. The client has full control over individual security selection within the fund
- D. The client owns individual securities within the pool
Correct Answer: B 🗳️
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A shareholder owns shares in a company that announces a 2-for-1 stock split. Which of the following most accurately describes the impact of this stock split?
- A. The stock split will increase the shareholder's investment value because the company is essentially
"giving" more shares - B. The total value of the shareholder's investment will remain the same, but the number of shares owned will double
- C. The number of shares owned by the shareholder will increase, but the overall value of the investment will increase as well
- D. The stock split will decrease the total value of the shareholder's investment, causing the company's market capitalization to shrink
Correct Answer: B 🗳️
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Canadian Registered Representatives (RRs) providing investment advice to U.S. clients may need to do which of the following?
- A. Rely solely on Canadian registration and exemptions to advise U.S. clients
- B. Restrict advice to U.S. clients only to Canadian securities and avoid U.S. products
- C. Provide the relationship disclosure to the client within 5 business days
- D. Register with the U.S. Securities Exchange Commission or state authorities
Correct Answer: D 🗳️
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Which is the best definition of a Registered Representative (RR)?
- A. An individual approved by CIRO authorized to trade or advise on securities, options and futures
- B. An individual approved by CIRO to trade but not advise on securities, options and futures contracts
- C. An organization approved by CIRO authorized to trade or advise on securities, options and futures
- D. An individual approved by the Canadian Investment Regulatory Organization (CIRO) authorized to trade or advise on securities, options and futures
Correct Answer: D 🗳️
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A company's financial analyst is reviewing the company's financial status as of the end of the fiscal year. Which financial statement will provide the necessary details about the company's assets and liabilities at that specific point in time?
- A. Income Statement
- B. Statement of Financial Position
- C. Statement of Comprehensive Income
- D. Statement of Cash Flows
Correct Answer: B 🗳️
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