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CIRO CIRE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Prospective client relationships | 10% | - Accredited investors and exemptions - Account agreements and welcome documentation - Retail and institutional clients - Retail client information and risk profile - Investment Dealer onboarding process - Costs, fees, turnover and taxes - Institutional client qualification - Client recordkeeping - Client relationship model - Third parties and professional advisers |
| Market integrity, trade execution and settlement | 12% | - Reporting obligations - Gatekeeping for manipulative and deceptive practices - UMIR gatekeeping obligations - Investment banking, research and corporate finance - Order confirmation requirements - Universal Market Integrity Rules - Order types - Order entry, trade processing, settlement and delivery - Derivative trading agreements - Order variations, cancellations and corrections - Margin requirements - Account types |
| Overview of Canadian securities regulatory framework | 10% | - Anti-money laundering requirements - 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 - Marketplaces and trading venues - Investment Dealer registration and individual approval requirements - Other investment industry regulators and agencies - Bank Act and Bankruptcy and Insolvency Act - Canadian Investor Protection Fund - Criminal Code and financial crime - Clearing agencies |
| Conflicts of interest and ethics | 15% | - CIRO and other ethical standards - Client confidentiality - Cybersecurity and confidential information - Positions of influence - Outside activities of Approved Persons - Ethical and legal responsibilities to clients - Managing conflicts of interest - Personal financial dealings with clients - Conflict identification, avoidance, addressing and disclosure - Ethics and regulatory rules - Information barriers and restricted lists - Ethical principles and standards of conduct |
| Derivatives | 5% | - Derivative account administration - Uses of derivatives - Listed and over-the-counter derivatives markets - Transactional elements of futures and options - Futures, forwards, swaps and contracts for difference - Derivative trading strategies - Options - Prohibited derivative trading practices |
| Securities, managed products, mutual funds and other investments | 19% | - Equities - Pooled products - Equity investment considerations - Mutual funds - Fixed income investment considerations - Managed products - Asset classes - Market indices - Managed product investment considerations - Fixed income securities and products - Other investments - Exchange-traded funds |
| Scope of client relationships | 15% | - Account appropriateness - Registered Representative role and client service - Institutional Investment Dealer services - Investment performance benchmarks - Investment management styles and strategies - Client suitability determination - Account appropriateness versus suitability - Relationship disclosure - Clients residing in the United States and other foreign jurisdictions - Trust, agency and fiduciary duty - Institutional client sophistication and suitability exemptions - Retail Investment Dealer services - Know-your-product requirements - Escalation to subject matter experts - Suitability exemptions - Investment Representative role and client service - Product due diligence |
| Market and company analysis | 8% | - Company regulation, disclosure and investor rights - Economic information and indicators - Market theories and stock market behaviour - Industry performance analysis - Basic economic theories - Company performance analysis - Macroeconomic effects on financial markets - Macroeconomic factors and policies - Technical and statistical analysis tools |
| Client complaint handling and reporting | 5% | - Complaint policies, procedures and recordkeeping - Investment Dealer complaint reporting obligations - Investment Dealer obligations to clients - Client recourse options - Client issues and potential liability - Settlement agreements with clients - CIRO and provincial regulator roles in complaint handling |
CIRO Canadian Investment Regulatory Sample Questions:
It is a requirement to adhere to the CIRO standards of conduct. Which of the following may be conduct that contravenes one or more of these standards?
- A. A reasonable departure from standards that are expected
- B. Observing high standards of ethics and conduct
- C. Engaging in any business conduct that is unbecoming
- D. Acting in accordance with just and equitable principles
Correct Answer: C 🗳️
Explanation: Only visible for RealVCE members. You can sign-up / login (it's free).
Which of the following best defines the main objective of fundamental analysis in relation to stock market behavior?
- A. To analyze historical stock prices to forecast future trends
- B. To predict short-term price movements based on market sentiment
- C. To evaluate a company's financial health and intrinsic value
- D. To identify stock price movements based on technical chart patterns
Correct Answer: C 🗳️
Explanation: Only visible for RealVCE members. You can sign-up / login (it's free).
Which method is typically used to calculate the value of most equity indices?
- A. Using a weighted average based on the market capitalization of each company
- B. Adding dividend yields of included companies divided by total number of companies
- C. Adding stock prices of included companies divided by total number of companies
- D. Using the median stock price of the included companies for index calculation
Correct Answer: A 🗳️
Explanation: Only visible for RealVCE members. You can sign-up / login (it's free).
Where would a retail client of an Investment Dealer find a description of its complaint handling procedures?
- A. The Fee Disclosure Document
- B. The know-your-client (KYC) Information Form
- C. The Account Opening Agreement
- D. The Relationship Disclosure
Correct Answer: D 🗳️
Explanation: Only visible for RealVCE members. You can sign-up / login (it's free).
Which of the following accurately describes a key characteristic of mutual fund trusts?
- A. They are restricted to investing in government bonds and cannot hold equity investments
- B. They invest in a diversified portfolio of assets and pass on income to unitholders
- C. They issue shares that can be traded on the stock exchange, similar to stocks
- D. They are subject to a flat tax rate, regardless of the income they generate
Correct Answer: B 🗳️
Explanation: Only visible for RealVCE members. You can sign-up / login (it's free).
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