CIRO CCO study plan

CIRO CCO · Give each week a clear focus.

8 weeks · About 7 hours per week

Week 1

Compliance and Supervision & Dealer Member Rules and Regulatory Framework

Map the CIRO rulebook structure and identify where compliance-and-supervision obligations sit relative to dealer-member requirements
Build a supervision-obligation checklist covering approval, monitoring, and escalation duties for a dealer member
Define the distinct roles of the compliance function, the ultimate designated person, and the chief compliance officer in a supervised firm
Draft a one-page glossary of at least 20 regulatory terms you must be able to define without notes

A two-column reference sheet pairing each supervision obligation with its source rule area, reviewed and corrected against your notes

Week 2

Explain how dealer-member registration categories and their permitted activities differ
Trace the escalation path a compliance officer follows when a supervision breach is identified
Summarize the recordkeeping and reporting duties that support effective supervision
Write out, from memory, the sequence of steps in a supervisory review of a client account

A written, from-memory account of the supervision escalation path, scored against your reference sheet with errors logged

Week 3

Identify the core financial requirements imposed on dealer members and what each one protects against
Explain how capital, margin, and early-warning thresholds interact in a dealer member's risk profile
Describe the operational controls expected around client asset segregation and custody
Calculate a worked example of a capital adequacy shortfall and state the required corrective response

A worked financial-requirement problem set of at least 10 items, solved without notes and self-graded to 80 percent or better

Week 4

Distinguish the financial-requirement triggers that mandate notification to the regulator
Explain the market-integrity prohibitions most relevant to retail and institutional trading conduct
Describe how manipulation, misleading conduct, and improper trading are detected and investigated
Connect operational-control failures to the conduct risks they create

A half-page cause-and-effect map linking three operational-control failures to specific conduct risks and the reporting duties each triggers

Week 5

Classify at least 15 described trading scenarios as compliant or non-compliant with a stated reason for each
Explain the obligations around client order handling, priority, and best execution
Describe conflict-of-interest identification and mitigation duties in a dealer member
Outline how a firm's conduct culture is evidenced in its supervision records

A scored scenario-classification log of 15 trading situations with your rationale for each classification

Week 6

Apply the supervision framework to a conduct breach and identify who was responsible at each stage
Explain the complaint-handling and dispute-resolution obligations that flow from conduct failures
Describe how regulatory examinations test both supervision and conduct compliance
Draft the corrective-action section of a supervisory response to a conduct finding

A one-page mock corrective-action memo responding to a conduct breach, citing the supervision duties engaged

Week 7

Complete a timed 60-question mixed-domain practice set under exam conditions
Categorize every missed question by domain and by error type: knowledge gap, misread, or reasoning error
Re-study only the three weakest sub-areas identified in the error log
Re-test those three sub-areas to confirm the gaps have closed

An error log of every missed question with domain, error type, and the corrected rule statement for each

Week 8

Complete two full-length timed practice exams and record scores by domain
Review all remaining flagged items and resolve each to a confident rule statement
Recite the key financial thresholds and supervision duties from memory without prompts
Finalize a one-page pre-exam summary sheet of the highest-risk facts

A final one-page summary sheet plus a scored record of both practice exams showing improvement over week 7

Week 2: Can define 20 core regulatory terms and describe the supervision escalation path from memory with no more than two errors

Week 4: Scores 80 percent or better on the financial-requirement problem set and can state the notification triggers without notes

Week 6: Correctly classifies at least 12 of 15 conduct scenarios and produces a coherent corrective-action memo

Week 7: Achieves 70 percent or better on the mixed-domain timed set and has a complete, categorized error log

Week 8: Achieves 80 percent or better on both full-length practice exams with no domain below 70 percent