CIRO Chief Financial Officer Exam Study Plan

Use the topic map below to turn CIRO Chief Financial Officer Exam into a repeatable weekly process instead of a loose reading project.

30-day intensive track

• Week 1: General regulatory framework; General financial requirements; Investment Dealer business model and related areas; Offering and distribution of securities; Capital adequacy, books and records, and reporting
• Week 2: Corporate governance and ethics; Duties, liabilities and defences; Risk management and internal controls; Inventory, pricing of securities and underwriting; Credit risk management and client accounts
• Week 3: Significant areas of risk; Operations and settlements; Protection of dealer and client assets; Other capital provisions; Ultimate Designated Person (UDP) responsibilities
• Week 4: run mixed timed sets, review every miss, and re-drill the 2-3 topics that still produce hesitation.

60-day balanced track

• Weeks 1-2: General regulatory framework; General financial requirements; Investment Dealer business model and related areas; Offering and distribution of securities
• Weeks 3-4: Capital adequacy, books and records, and reporting; Corporate governance and ethics; Duties, liabilities and defences; Risk management and internal controls
• Weeks 5-6: Inventory, pricing of securities and underwriting; Credit risk management and client accounts; Significant areas of risk; Operations and settlements
• Weeks 7-8: Protection of dealer and client assets; Other capital provisions; Ultimate Designated Person (UDP) responsibilities

90-day part-time track

• Weeks 1-2: General regulatory framework; General financial requirements; Investment Dealer business model and related areas
• Weeks 3-4: Offering and distribution of securities; Capital adequacy, books and records, and reporting; Corporate governance and ethics
• Weeks 5-6: Duties, liabilities and defences; Risk management and internal controls; Inventory, pricing of securities and underwriting
• Weeks 7-8: Credit risk management and client accounts; Significant areas of risk
• Weeks 9-10: Operations and settlements; Protection of dealer and client assets
• Weeks 11-12: Other capital provisions; Ultimate Designated Person (UDP) responsibilities
• Across the final two weeks: slow down, clean up note cards and rule sheets, then finish with timed mixed review rather than new content.

Final stretch

• Run timed mixed sets in practice .
• Review every miss and write a one-line rule: what controlled answer was better, and why?
• Re-drill the weakest topic group instead of chasing random new questions.
• Work toward roughly 120 seconds per question so timing pressure does not force bad decisions on exam day.