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CIRO CIRE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Scope of Client Relationship, KYC and Suitability | ~15–18% | - Know Your Client (KYC) Requirements - Suitability Assessment and Obligations |
| Topic 2: Conflicts of Interest and Ethics | ~14–15% | - Conflict Identification, Disclosure and Management - Client-Focused Reforms and Ethical Standards |
| Topic 3: Market and Company Analysis | ~8% | - Fundamental and Technical Analysis - Investment Performance Benchmarks |
| Topic 4: Derivatives Fundamentals | ~5–8% | - Risk and Suitability for Derivatives - Options, Futures and Forwards Basics |
| Topic 5: Market Integrity, Trade Execution and Settlement | ~12% | - Order Types, Execution and Settlement Processes - UMIR and Market Integrity Rules |
| Topic 6: Securities and Managed Products | ~19% | - Fund Structures and Product Characteristics - Equities, Fixed-Income and Managed Products |
| Topic 7: Prospective Client Relationships | ~10% | - Know Your Prospect (KYP) and Disclosures - Relationship Discovery and Qualification |
| Topic 8: Overview of Regulatory Framework | ~10% | - Market Infrastructure and Protection Funds - Securities Legislation and Regulators (CSA, CIRO, FINTRAC) |
| Topic 9: Client Complaint Handling and Reporting | ~5% | - Escalation, Recordkeeping and Reporting - Complaint Management Framework |
CIRO Canadian Investment Regulatory Sample Questions:
1. The Ombudsman for Banking Services and Investments (OBSI) has recommended that a firm compensate a client. If the firm refuses to comply, what action can OBSI take?
A) Do nothing as the recommendation is not binding
B) Revoke the Investment Dealer's registration
C) Enforce the recommendation via the Canadian courts
D) Make a public statement about the Investment Dealer
2. What is the primary mandate of the Office of the Superintendent of Financial Institutions (OSFI)?
A) Monitoring anti-money laundering compliance
B) Investigating securities fraud
C) Managing investor protection funds
D) Supervising federally-regulated financial institutions
3. What is a futures contract?
A) A financial contract that allows the buyer to buy an asset at any time before the expiration date
B) A contract that obligates the buyer to buy an asset at a specified price on a specified future date
C) A financial contract that allows the buyer to borrow funds to purchase an investment asset
D) A contract granting the buyer the right but not obligation to buy an asset at a specified future price
4. An Investment Representative (IR) at an Investment Dealer notices that a long-standing client, who typically trades conservative blue-chip stocks in moderate amounts, has suddenly started making frequent large trades in high-volatility penny stocks. What is the IR's best course of action under gatekeeping regulatory requirements?
A) Monitor the transactions and wait for a regulatory authority to raise concerns
B) Detail the client's activity and report it to a Supervisor or compliance
C) Recognize the client has changed their trading strategy and take no further action
D) Freeze the client's account immediately and report the activity as fraudulent
5. 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 a derivative to be executed upon entry to a marketplace at the best ask price
C) Buy a security or derivative to be executed at a specified maximum price
D) An order that includes a client order as well as a non-client order or principal order, or both
Solutions:
| Question # 1 Answer: D | Question # 2 Answer: D | Question # 3 Answer: B | Question # 4 Answer: B | Question # 5 Answer: B |
