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 |
|---|---|---|
| Securities, managed products, mutual funds and other investments | 19% | - Features, risks and returns of managed products - Purpose and uses of market indices - Asset classes generally sold and traded at an Investment Dealer - 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 mutual fund investors - Considerations affecting exchange-traded fund investors - Considerations affecting managed product investors - Types, features, risks and returns of fixed income securities and products - Considerations affecting fixed income investors - Considerations affecting equity investors and potential shareholders - Types of pooled products |
| Market integrity, trade execution and settlement | 12% | - Features of different order types - Order entry, trade management, settlement and delivery - Functions of investment banking, research and corporate finance - Order confirmation requirements - Universal Market Integrity Rules - Margin requirements - Specialized trading agreements for derivative accounts - Order variations, cancellations and corrections - Reporting obligations to firms and regulators - Features of different account types - Gatekeeping requirements for manipulative and deceptive practices, unacceptable activities and front running - UMIR gatekeeping obligations |
| Derivatives | 5% | - Administrative requirements for derivative trading with clients - Basic uses of derivatives - Single and multi-legged derivative trading strategies - Basic transactional elements of futures and options - Features of options contract types - Features of other derivative contract types - Prohibited derivative trading practices - Listed versus over-the-counter derivative markets |
| Scope of client relationships | 15% | - Institutional client sophistication assessment and suitability exemptions - Investment performance benchmarks - Internal escalation procedures and subject matter experts - Product due diligence obligations - Know-your-product obligations - Role of the Investment Representative in providing client service - Typical services provided by institutional Investment Dealers - Purpose and content of relationship disclosure - Role of the Registered Representative in providing client service - Exemptions from suitability determination requirements - Typical services provided by retail Investment Dealers - Account appropriateness obligations - Account appropriateness versus suitability determination - Suitability determination requirements for retail clients - Systematic approaches to investment management and investment strategies - Trust, agency and fiduciary duty - Requirements for working with clients in the United States and other foreign jurisdictions |
| Conflicts of interest and ethics | 15% | - Ethical and legal responsibilities to clients - Activities outside an Investment Dealer - CIRO and other ethical standards of conduct - Ethical principles and standards of conduct for Approved Persons and Investment Dealers - Information controls, barriers, firewalls and restricted lists - Importance of ethics and its relationship to rules - Role of cybersecurity in protecting confidential information - Conflicts of interest management process - Requirements regarding positions of influence - Inappropriate or prohibited personal financial dealings with clients - Importance of managing conflicts of interest - Client confidentiality policies and procedures |
| Prospective client relationships | 10% | - Third parties and other professionals in the client's life - Retail client information collection - Client record documentation, filing and maintenance - Institutional client qualification requirements - Investment Dealer onboarding process - Differences between retail and institutional clients - Exemptions under National Instrument 45-106 - Required account agreement and Firm Welcome package documents - Role of cost in product selection - Impact of fees, turnover and taxes on investment returns - Client relationship model |
| Overview of Canadian securities regulatory framework | 10% | - Investment Dealer registration and individual approval requirements - Role and authority of the Canadian Securities Administrators and provincial and territorial securities and derivatives regulators - Function and purpose of the Canadian Investor Protection Fund - 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 - Criminal Code and its application to financial crime - Role and authority of the Canadian Investment Regulatory Organization - Other applicable laws including confidentiality, privacy, anti-spam, company disclosure and shareholder rights - Function and purpose of clearing agencies - Purpose and implications of the Bank Act and Bankruptcy and Insolvency Act |
| Market and company analysis | 8% | - Basic economic theories - Basic market theories and stock market behaviour - Industry performance analysis - Technical and statistical analysis tools and information sources - Rules relating to companies - Company performance analysis tools - Factors influencing the macroeconomy - Effects of macroeconomic factors on financial markets - Economic indicators and sources of information |
| Client complaint handling and reporting | 5% | - Investment Dealer obligations to clients - Role of CIRO and provincial regulators in the complaints handling framework - Potential client issues, liability and consequences - Investment Dealer complaint reporting obligations and penalties - Prohibited practices in client settlement agreements - Recourse available to dissatisfied clients - Policies and procedures for reporting, handling and maintaining complaint records |
CIRO Canadian Investment Regulatory Sample Questions:
1. Which of the following best describes the key difference between a call option and a put option in an options contract?
A) A call option gives the holder the right to sell an asset; a put option allows buying at market price
B) A call option lets the holder sell, and a put option lets the holder buy, an asset at a set price
C) A call option buys at a fixed price; a put option gives the holder rights to future dividends
D) A call option allows the holder to buy, while a put option allows the holder to sell, at a fixed price
2. What is the primary mandate of the Office of the Superintendent of Financial Institutions (OSFI)?
A) Supervising federally-regulated financial institutions
B) Monitoring anti-money laundering compliance
C) Investigating securities fraud
D) Managing investor protection funds
3. An Investment Dealer is required to comply with which of the following when dealing with clients?
A) Regulation, guidance and codes
B) Legislation, contract laws and codes
C) Legislation, regulation and guidance
D) Legislation, contract laws and regulations
4. What is a potential risk associated with mutual fund corporations?
A) Mutual fund corporations can invest in diversified portfolios freely
B) Capital gains within the mutual fund corporation are taxed annually
C) Switching funds within the corporation generally does not trigger taxation
D) Market volatility impacts the value of investments in the corporation
5. An Approved Person at an Investment Dealer has just helped a technology company go public. They also provided strategic advice on structuring the deal and pricing the shares. What is their primary role in this situation?
A) Helping the company monitor stock price fluctuations
B) Assisting the company in raising capital through the sale of securities
C) Advising the company on tax strategies for their new capital
D) Managing the company's portfolio of investments
Solutions:
| Question # 1 Answer: D | Question # 2 Answer: A | Question # 3 Answer: D | Question # 4 Answer: D | Question # 5 Answer: B |
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