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CIRO CIRE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Derivatives Fundamentals | ~5–8% | - Options, Futures and Forwards Basics - Risk and Suitability for Derivatives |
| Market Integrity, Trade Execution and Settlement | ~12% | - Order Types, Execution and Settlement Processes - UMIR and Market Integrity Rules |
| Market and Company Analysis | ~8% | - Investment Performance Benchmarks - Fundamental and Technical Analysis |
| Prospective Client Relationships | ~10% | - Relationship Discovery and Qualification - Know Your Prospect (KYP) and Disclosures |
| Securities and Managed Products | ~19% | - Equities, Fixed-Income and Managed Products - Fund Structures and Product Characteristics |
| Conflicts of Interest and Ethics | ~14–15% | - Client-Focused Reforms and Ethical Standards - Conflict Identification, Disclosure and Management |
| Overview of Regulatory Framework | ~10% | - Securities Legislation and Regulators (CSA, CIRO, FINTRAC) - Market Infrastructure and Protection Funds |
| Scope of Client Relationship, KYC and Suitability | ~15–18% | - Suitability Assessment and Obligations - Know Your Client (KYC) Requirements |
| Client Complaint Handling and Reporting | ~5% | - Escalation, Recordkeeping and Reporting - Complaint Management Framework |
CIRO Canadian Investment Regulatory Sample Questions:
1. A fund takes advantage of corporate actions such as takeovers and mergers to gain an investment advantage. What type of investing is this strategy associated with?
A) An active equity investment strategy
B) An active bond investment strategy
C) A passive bond investment strategy
D) A passive equity investment strategy
2. Which of the following best defines the main objective of fundamental analysis in relation to stock market behavior?
A) To identify stock price movements based on technical chart patterns
B) To analyze historical stock prices to forecast future trends
C) To evaluate a company's financial health and intrinsic value
D) To predict short-term price movements based on market sentiment
3. 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
4. Where would a retail client of an Investment Dealer find a description of its complaint handling procedures?
A) The Fee Disclosure Document
B) The Account Opening Agreement
C) The know-your-client (KYC) Information Form
D) The Relationship Disclosure
5. What is the primary use of commodities like soybeans, crude oil, and copper?
A) They are used for investment and speculative purposes
B) They are used to protect against fluctuating prices
C) They are used to profit from fluctuating prices
D) They are used for consumption and industrial purposes
Solutions:
| Question # 1 Answer: A | Question # 2 Answer: C | Question # 3 Answer: B | Question # 4 Answer: D | Question # 5 Answer: D |
