CIRO Chief Financial Officer Exam Syllabus

Use this page as your coverage checklist for CIRO Chief Financial Officer Exam.

Live topic list

1. Element 1 — General regulatory framework
2. Element 2 — General financial requirements
3. Element 3 — Investment Dealer business model and related areas
4. Element 4 — Offering and distribution of securities
5. Element 5 — Capital adequacy, books and records, and reporting
6. Element 6 — Corporate governance and ethics
7. Element 7 — Duties, liabilities and defences
8. Element 8 — Risk management and internal controls
9. Element 9 — Inventory, pricing of securities and underwriting
10. Element 10 — Credit risk management and client accounts
11. Element 11 — Significant areas of risk
12. Element 12 — Operations and settlements
13. Element 13 — Protection of dealer and client assets
14. Element 14 — Other capital provisions
15. Element 15 — Ultimate Designated Person (UDP) responsibilities

How to use the syllabus

• Work through the topics in order if you want a clean first pass.
• After each topic, run a short set in practice to confirm you can apply the rules under time pressure.
• Use the cheat sheet to condense each topic into a few decision rules, control points, or escalation cues.

Exam snapshot

• Format: 90 multiple-choice questions, 180 minutes
• Current topic count: 15