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 |
|---|---|---|
| Topic 1: Prospective client relationships | 10% | - Costs, fees, turnover and taxes - Accredited investors and exemptions - Client relationship model - Investment Dealer onboarding process - Retail and institutional clients - Account agreements and welcome documentation - Retail client information and risk profile - Third parties and professional advisers - Institutional client qualification - Client recordkeeping |
| Topic 2: Market and company analysis | 8% | - Macroeconomic effects on financial markets - Technical and statistical analysis tools - Economic information and indicators - Company regulation, disclosure and investor rights - Industry performance analysis - Market theories and stock market behaviour - Macroeconomic factors and policies - Basic economic theories - Company performance analysis |
| Topic 3: Overview of Canadian securities regulatory framework | 10% | - Investment Dealer registration and individual approval requirements - Canadian Investor Protection Fund - Criminal Code and financial crime - Anti-money laundering requirements - Bank Act and Bankruptcy and Insolvency Act - Marketplaces and trading venues - Clearing agencies - Confidentiality, privacy, anti-spam and shareholder rights legislation - Role and authority of the Canadian Securities Administrators and provincial/territorial securities and derivatives regulators - Role and authority of the Canadian Investment Regulatory Organization - Other investment industry regulators and agencies |
| Topic 4: 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 account administration - Derivative trading strategies |
| Topic 5: Market integrity, trade execution and settlement | 12% | - UMIR gatekeeping obligations - Reporting obligations - Investment banking, research and corporate finance - Account types - Gatekeeping for manipulative and deceptive practices - Universal Market Integrity Rules - Margin requirements - Order entry, trade processing, settlement and delivery - Order types - Order confirmation requirements - Order variations, cancellations and corrections - Derivative trading agreements |
| Topic 6: Scope of client relationships | 15% | - Trust, agency and fiduciary duty - Suitability exemptions - Institutional client sophistication and suitability exemptions - Registered Representative role and client service - Clients residing in the United States and other foreign jurisdictions - Account appropriateness - Escalation to subject matter experts - Relationship disclosure - Retail Investment Dealer services - Account appropriateness versus suitability - Know-your-product requirements - Client suitability determination - Investment Representative role and client service - Investment performance benchmarks - Institutional Investment Dealer services - Investment management styles and strategies - Product due diligence |
| Topic 7: Securities, managed products, mutual funds and other investments | 19% | - Asset classes - Fixed income securities and products - Fixed income investment considerations - Equities - Mutual funds - Managed product investment considerations - Other investments - Managed products - Exchange-traded funds - Pooled products - Equity investment considerations - Market indices |
| Topic 8: Client complaint handling and reporting | 5% | - Settlement agreements with clients - CIRO and provincial regulator roles in complaint handling - Complaint policies, procedures and recordkeeping - Client recourse options - Investment Dealer complaint reporting obligations - Client issues and potential liability - Investment Dealer obligations to clients |
| Topic 9: Conflicts of interest and ethics | 15% | - Outside activities of Approved Persons - Client confidentiality - Ethical and legal responsibilities to clients - Information barriers and restricted lists - Personal financial dealings with clients - Ethical principles and standards of conduct - Cybersecurity and confidential information - CIRO and other ethical standards - Conflict identification, avoidance, addressing and disclosure - Ethics and regulatory rules - Managing conflicts of interest - Positions of influence |
CIRO Canadian Investment Regulatory Sample Questions:
Once the know-your-client (KYC) information has been collected what should an Investment Dealer do with that information?
- A. Review the information and then destroy it to comply with data retention rules
- B. Take reasonable steps to have the client confirm the accuracy of the information
- C. Require the client to sign a certification that the KYC information is complete and true
- D. Ensure the information is accurate and complete through its own verification
Correct Answer: B 🗳️
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An investment advisor for a discretionary account purchased a stock then realized it was not aligned with the client's know-your-client (KYC) documentation. The stock is sold for a small gain. What should the advisor do?
- A. Reinvest the proceeds in a stock that does align to offset the issue
- B. Conceal the error to avoid any reputational damage
- C. The incident is reasonable practice with no further action needed
- D. Notify the client and document the error as per firm policy
Correct Answer: D 🗳️
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Why might a company choose to issue preferred shares instead of debt?
- A. Preferred shares offer tax-deductible dividend payments that lower corporate tax expenses
- B. Preferred shares are less expensive than debt due to their fixed dividend obligations
- C. Preferred shares provide shareholders with voting rights and a maturity date
- D. Preferred shares do not create legal obligations to make interest or principal payments
Correct Answer: D 🗳️
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What is the role of the Financial Transactions and Reports Analysis Centre of Canada (FINTRAC) in the investment industry sector?
- A. To manage clearing and settlement of trades
- B. To enforce securities laws across provinces
- C. To monitor and report on suspicious financial transactions
- D. To regulate investment advisors and Investment Dealers
Correct Answer: C 🗳️
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What is the primary purpose of the takeover process in corporate governance?
- A. To facilitate the transfer of control in a way that ensures shareholder interests are protected and fairly addressed
- B. To provide a mechanism for companies to buy back their own shares from the secondary market
- C. To allow management to control when and how they are replaced in the event of a takeover
- D. To enable a single shareholder to acquire control of a company through the purchase of all outstanding shares
Correct Answer: A 🗳️
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