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CIRO CIRE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Client Complaint Handling and Reporting | ~5% | - Complaint Management Framework - Escalation, Recordkeeping and Reporting |
| Topic 2: Market and Company Analysis | ~8% | - Investment Performance Benchmarks - Fundamental and Technical Analysis |
| Topic 3: Overview of Regulatory Framework | ~10% | - Securities Legislation and Regulators (CSA, CIRO, FINTRAC) - Market Infrastructure and Protection Funds |
| Topic 4: Market Integrity, Trade Execution and Settlement | ~12% | - UMIR and Market Integrity Rules - Order Types, Execution and Settlement Processes |
| Topic 5: Prospective Client Relationships | ~10% | - Relationship Discovery and Qualification - Know Your Prospect (KYP) and Disclosures |
| Topic 6: Securities and Managed Products | ~19% | - Equities, Fixed-Income and Managed Products - Fund Structures and Product Characteristics |
| Topic 7: Derivatives Fundamentals | ~5–8% | - Risk and Suitability for Derivatives - Options, Futures and Forwards Basics |
| Topic 8: Conflicts of Interest and Ethics | ~14–15% | - Client-Focused Reforms and Ethical Standards - Conflict Identification, Disclosure and Management |
| Topic 9: Scope of Client Relationship, KYC and Suitability | ~15–18% | - Know Your Client (KYC) Requirements - Suitability Assessment and Obligations |
CIRO Canadian Investment Regulatory Sample Questions:
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 not a violation because the advisor disclosed all the costs
- B. This is a potential failure of the duty of best execution
- C. This is a potential breach of the advisor's fiduciary duty
- D. This is not a violation because the account was appropriately balanced
Correct Answer: C 🗳️
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Which of the following outlines how securities firms must handle client assets when facing financial failure?
- A. Canadian Investor Protection Fund (CIPF) Guidelines
- B. Bank Act, Part V
- C. Universal Market Integrity Rules (UMIR)
- D. Bankruptcy and Insolvency Act, Part XII
Correct Answer: D 🗳️
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What is the purpose of the Canadian Anti-Spam Legislation (CASL)?
- A. To oversee securities-related email marketing campaigns
- B. To block unsolicited commercial messages without consent
- C. To regulate the use of electronic signatures
- D. To ensure compliance with privacy law in email communications
Correct Answer: B 🗳️
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An investment advisor is explaining hedge funds to a client who is considering different investment options. What is a key advantage of hedge funds?
- A. They charge lower fees than other types of investment funds
- B. They are subject to strict regulatory oversight like mutual funds
- C. They are low-risk investments suited for conservative investors
- D. They have access to diverse and sophisticated investment strategies
Correct Answer: D 🗳️
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Which of the following could be a market order?
- A. An order for the purchase or sale of a listed or a quoted security at the closing sale price
- B. Buy a security or derivative to be executed at a specified maximum price
- C. Buy a security or a derivative to be executed upon entry to a marketplace at the best ask price
- D. An order that includes a client order as well as a non-client order or principal order, or both
Correct Answer: C 🗳️
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