CIRO Director and Executive study plan

Map CIRO's statutory mandate, governance structure, and relationship to CSA and the provincial regulators into a one-page diagram

Distinguish CIRO's rule-making authority from its enforcement authority and list which instruments govern each

Identify the categories of Dealer Members and Marketplace Members and describe the obligations that attach to each category

Define the key defined terms used across the CIRO rulebook (Member, Approved Person, Regulated Person) and record where each is used

Sequence the hierarchy of regulatory instruments (statute, recognition order, rules, guidance) and explain how conflicts between them resolve

Trace the rule-application process end to end, from proposal through public comment to approval and publication

Compare the universal market integrity rules with member-specific conduct rules and state which applies to which activity

Classify ten hypothetical fact patterns by the instrument most likely to govern them

Build a compliance-program checklist that maps each required element to the specific rule obligation it satisfies

Design a risk-assessment method that scores inherent risk, control effectiveness, and residual risk for three member business lines

Draft the structure of a compliance manual table of contents and justify each section by reference to a rule

Explain how the chief compliance officer's reporting line and independence requirements interact with board oversight

Distinguish the duty of care from the duty of loyalty and apply both to five board decision scenarios

Analyze conflict-of-interest situations, including outside business activities and personal trading, and prescribe the required disclosure, approval, or avoidance step

Evaluate internal control failures against the control objectives of authorization, segregation of duties, reconciliation, and recordkeeping

Draft a board-level escalation protocol for a material compliance breach

Outline the enforcement process from investigation through notice, hearing, decision, and appeal, noting the procedural rights at each stage

Differentiate the sanction types available and match each to the seriousness and repetition of the misconduct

Explain how self-reporting, cooperation, and remediation affect the outcome and articulate the ethical basis for each

Draft a settlement proposal outline for a hypothetical misconduct scenario that addresses remediation and deterrence

Identify the ongoing regulatory obligations that persist after registration, including reporting, recordkeeping, and notification duties

Distinguish the regulator's information-gathering powers from its disciplinary powers and describe the limits on each

Explain how CIRO coordinates with other regulators and self-regulatory bodies during a cross-border or multi-party matter

Prepare a notification timeline for a member facing a reportable event

Synthesize the four heaviest domains into an integrated case analysis that moves from rule identification through governance duty to control failure and enforcement exposure

Identify the three most likely failure points in a member's compliance program and prescribe a control for each

Practice articulating board-level reasoning under time pressure using structured oral answers

Audit your earlier deliverables for gaps and update any that relied on incomplete rule knowledge

Complete a full timed practice assessment and score each domain separately to expose remaining weak areas

Re-teach the two weakest domains from memory without notes to confirm retention

Consolidate the glossary, checklists, and matrices into a single indexed reference for final review

Simulate the exam-day routine, including timing strategy and question-flagging rules