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CIRO CIRE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Derivatives Fundamentals | ~5–8% | - Options, Futures and Forwards Basics - Risk and Suitability for Derivatives |
| Topic 2: Market Integrity, Trade Execution and Settlement | ~12% | - UMIR and Market Integrity Rules - Order Types, Execution and Settlement Processes |
| Topic 3: Prospective Client Relationships | ~10% | - Relationship Discovery and Qualification - Know Your Prospect (KYP) and Disclosures |
| Topic 4: Conflicts of Interest and Ethics | ~14–15% | - Client-Focused Reforms and Ethical Standards - Conflict Identification, Disclosure and Management |
| Topic 5: Market and Company Analysis | ~8% | - Fundamental and Technical Analysis - Investment Performance Benchmarks |
| Topic 6: Scope of Client Relationship, KYC and Suitability | ~15–18% | - Suitability Assessment and Obligations - Know Your Client (KYC) Requirements |
| Topic 7: Client Complaint Handling and Reporting | ~5% | - Escalation, Recordkeeping and Reporting - Complaint Management Framework |
| Topic 8: Securities and Managed Products | ~19% | - Equities, Fixed-Income and Managed Products - Fund Structures and Product Characteristics |
| Topic 9: Overview of Regulatory Framework | ~10% | - Market Infrastructure and Protection Funds - Securities Legislation and Regulators (CSA, CIRO, FINTRAC) |
CIRO Canadian Investment Regulatory Sample Questions:
1. Investment Dealers must provide relationship disclosure to which of the following types of clients?
A) All clients except Retail Clients
B) All clients except Institutional Clients
C) All clients except non-discretionary clients
D) All clients except managed clients
2. When must an Investment Dealer consult with a client's trusted contact person?
A) The Investment Dealer disagrees with a client's investment decision
B) If there are concerns about the client's financial exploitation or mental capacity
C) If the client fails to provide the required know-your-client (KYC) information
D) To share the client's account performance details with an objective person
3. Under CIRO rules, which of the following must an exchange-traded fund (ETF) disclose to potential investors before they invest?
A) The ETF's investment strategy, risks, and fees
B) A summary of the ETF's tax implications on dividends and capital gains
C) The names of all underlying assets in the ETF
D) The personal investment goals of the fund manager
4. An investment firm discovers a minor clerical error that caused a discrepancy in client transaction records. What is the most appropriate action under Investment Dealer and Partially Consolidated (IDPC) rules?
A) Correct the error immediately and notify the client of the change
B) Document the discrepancy for internal audit and address it during review
C) Report the issue to the federal anti-money laundering agency and restrict accounts
D) Correct the error and report the discrepancy to the Canadian Securities Administrators (CSA)
5. Following two recent annual reviews it was determined that a client's commission-based account is appropriately balanced. The advisor recommends trades that are unnecessary to fulfil the client's investment goals, and describes the key features of the product including the costs. Which of the following is true?
A) This is a potential failure of the duty of best execution
B) This is not a violation because the account was appropriately balanced
C) This is a potential breach of the advisor's fiduciary duty
D) This is not a violation because the advisor disclosed all the costs
Solutions:
| Question # 1 Answer: B | Question # 2 Answer: B | Question # 3 Answer: A | Question # 4 Answer: A | Question # 5 Answer: C |
