- 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 |
|---|---|---|
| Topic 1: Conflicts of interest and ethics | 15% | - Client confidentiality policies and procedures - CIRO and other ethical standards of conduct - Activities outside an Investment Dealer - Conflicts of interest management process - Importance of ethics and its relationship to rules - Role of cybersecurity in protecting confidential information - Requirements regarding positions of influence - Importance of managing conflicts of interest - Ethical principles and standards of conduct for Approved Persons and Investment Dealers - Inappropriate or prohibited personal financial dealings with clients - Ethical and legal responsibilities to clients - Information controls, barriers, firewalls and restricted lists |
| Topic 2: Overview of Canadian securities regulatory framework | 10% | - Investment Dealer registration and individual approval requirements - Anti-money laundering and anti-terrorist financing legislation and regulations - Function and purpose of investment industry marketplaces - Function and purpose of other investment industry regulators and agencies - 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 - Criminal Code and its application to financial crime - Purpose and implications of the Bank Act and Bankruptcy and Insolvency Act - Function and purpose of clearing agencies - Role and authority of the Canadian Securities Administrators and provincial and territorial securities and derivatives regulators |
| Topic 3: Market integrity, trade execution and settlement | 12% | - UMIR gatekeeping obligations - Order variations, cancellations and corrections - Functions of investment banking, research and corporate finance - Order confirmation requirements - Order entry, trade management, settlement and delivery - Specialized trading agreements for derivative accounts - Features of different order types - Features of different account types - Universal Market Integrity Rules - Gatekeeping requirements for manipulative and deceptive practices, unacceptable activities and front running - Margin requirements - Reporting obligations to firms and regulators |
| Topic 4: Scope of client relationships | 15% | - Typical services provided by retail Investment Dealers - Institutional client sophistication assessment and suitability exemptions - Role of the Investment Representative in providing client service - Account appropriateness versus suitability determination - Internal escalation procedures and subject matter experts - Requirements for working with clients in the United States and other foreign jurisdictions - Know-your-product obligations - Purpose and content of relationship disclosure - Trust, agency and fiduciary duty - Role of the Registered Representative in providing client service - Suitability determination requirements for retail clients - Systematic approaches to investment management and investment strategies - Account appropriateness obligations - Investment performance benchmarks - Exemptions from suitability determination requirements - Typical services provided by institutional Investment Dealers - Product due diligence obligations |
| Topic 5: Securities, managed products, mutual funds and other investments | 19% | - Purpose and uses of market indices - Asset classes generally sold and traded at an Investment Dealer - Features, risks and returns of managed products - Considerations affecting exchange-traded fund investors - Types, features, risks and returns of equities - Considerations affecting mutual fund investors - Other investments including hedge funds, structured products, alternative investment funds, crypto assets and ESG-related products - Types of pooled products - Considerations affecting equity investors and potential shareholders - Considerations affecting managed product investors - Types, features, risks and returns of fixed income securities and products - Considerations affecting fixed income investors |
| Topic 6: Client complaint handling and reporting | 5% | - Potential client issues, liability and consequences - Prohibited practices in client settlement agreements - Investment Dealer complaint reporting obligations and penalties - Investment Dealer obligations to clients - Policies and procedures for reporting, handling and maintaining complaint records - Role of CIRO and provincial regulators in the complaints handling framework - Recourse available to dissatisfied clients |
| Topic 7: Derivatives | 5% | - Features of options contract types - Administrative requirements for derivative trading with clients - Listed versus over-the-counter derivative markets - Single and multi-legged derivative trading strategies - Prohibited derivative trading practices - Features of other derivative contract types - Basic transactional elements of futures and options - Basic uses of derivatives |
| Topic 8: Prospective client relationships | 10% | - Institutional client qualification requirements - Role of cost in product selection - Exemptions under National Instrument 45-106 - Differences between retail and institutional clients - Investment Dealer onboarding process - Third parties and other professionals in the client's life - Retail client information collection - Client relationship model - Client record documentation, filing and maintenance - Impact of fees, turnover and taxes on investment returns - Required account agreement and Firm Welcome package documents |
| Topic 9: Market and company analysis | 8% | - Effects of macroeconomic factors on financial markets - Company performance analysis tools - Rules relating to companies - Economic indicators and sources of information - Basic market theories and stock market behaviour - Basic economic theories - Factors influencing the macroeconomy - Industry performance analysis - Technical and statistical analysis tools and information sources |
CIRO Canadian Investment Regulatory Sample Questions:
1. A Portfolio Manager with discretionary accounts controls the proxy voting on behalf of clients. The firm does not typically participate in corporate governance votes but the manager's sister-in-law has been nominated for the board, and has asked the manager to vote in favour of her nomination. The manager believes she is well qualified. How should the manager proceed?
A) Vote as requested by the sister-in-law, as the firm does not typically participate in governance votes, so this situation is unlikely to matter
B) The manager should vote against the nomination, as it could create a potential conflict of interest even though she is qualified
C) The manager should vote in favour of the nomination, but only if they disclose the personal relationship to clients before casting the vote
D) The manager should abstain from voting, as the personal relationship with the nominee creates a potential conflict of interest
2. What is the primary mandate of the Office of the Superintendent of Financial Institutions (OSFI)?
A) Managing investor protection funds
B) Supervising federally-regulated financial institutions
C) Investigating securities fraud
D) Monitoring anti-money laundering compliance
3. What role do margin requirements play in managing risk for both short and long positions?
A) They increase the amount of capital needed but do not reduce the leverage available
B) They are not enforced for accounts where trades are executed at the dealer's discretion
C) They apply exclusively to short positions, with no impact on long positions
D) They require clients to maintain sufficient funds to cover losses in both short and long positions
4. A central bank raises interest rates to address rising inflation. What is the most likely effect of this policy on the economy?
A) Reduced consumer spending and lower inflation
B) Higher demand for goods and services
C) Increased borrowing by businesses and individuals
D) Increased consumer spending and higher inflation
5. In Canada, what framework is primarily used to group industries based on similar business activities?
A) International Standard Industrial Classification (ISIC)
B) Harmonized System (HS)
C) North American Industry Classification System (NAICS)
D) Standard Industrial Classification (SIC)
Solutions:
| Question # 1 Answer: D | Question # 2 Answer: B | Question # 3 Answer: D | Question # 4 Answer: A | Question # 5 Answer: C |
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