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CIRO CIRE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Conflicts of Interest and Ethics | ~14–15% | - Client-Focused Reforms and Ethical Standards - Conflict Identification, Disclosure and Management |
| Market Integrity, Trade Execution and Settlement | ~12% | - Order Types, Execution and Settlement Processes - UMIR and Market Integrity Rules |
| Overview of Regulatory Framework | ~10% | - Market Infrastructure and Protection Funds - Securities Legislation and Regulators (CSA, CIRO, FINTRAC) |
| Prospective Client Relationships | ~10% | - Know Your Prospect (KYP) and Disclosures - Relationship Discovery and Qualification |
| Client Complaint Handling and Reporting | ~5% | - Complaint Management Framework - Escalation, Recordkeeping and Reporting |
| Market and Company Analysis | ~8% | - Investment Performance Benchmarks - Fundamental and Technical Analysis |
| Scope of Client Relationship, KYC and Suitability | ~15–18% | - Suitability Assessment and Obligations - Know Your Client (KYC) Requirements |
| Securities and Managed Products | ~19% | - Equities, Fixed-Income and Managed Products - Fund Structures and Product Characteristics |
| Derivatives Fundamentals | ~5–8% | - Risk and Suitability for Derivatives - Options, Futures and Forwards Basics |
CIRO Canadian Investment Regulatory Sample Questions:
1. An Investment Dealer is helping a new client open a derivatives trading account. During the application process, what information about the client must the dealer obtain to meet regulatory requirements in Canada?
A) A signed acknowledgment of the dealer's trading policies and procedures
B) The client's employment information and financial background to assess product suitability
C) The client's understanding of derivatives and previous trading experience
D) The client's financial goals and past trading account performance
2. 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) Make a public statement about the Investment Dealer
B) Do nothing as the recommendation is not binding
C) Enforce the recommendation via the Canadian courts
D) Revoke the Investment Dealer's registration
3. What is the purpose of the Canadian Anti-Spam Legislation (CASL)?
A) To ensure compliance with privacy law in email communications
B) To regulate the use of electronic signatures
C) To block unsolicited commercial messages without consent
D) To oversee securities-related email marketing campaigns
4. An Investment Dealer rewards Registered Representatives (RRs) when they meet monthly goals for asset accumulation. An RR is close to achieving a key threshold and offers to rebate management fees for 3 months if a new client signs on. The RR has not notified the Investment Dealer of this arrangement. Has the RR done anything wrong?
A) Yes, because the RR made a financial arrangement without Investment Dealer approval
B) Yes, because the RR should offer rebates to all clients, not just new ones, to ensure fairness
C) No, because the rebate benefits the client and helps the RR meet their Investment Dealer's goals
D) No, because management fee rebates are a standard practice in the industry
5. What is the role of the Financial Transactions and Reports Analysis Centre of Canada (FINTRAC) in the investment industry sector?
A) To enforce securities laws across provinces
B) To monitor and report on suspicious financial transactions
C) To manage clearing and settlement of trades
D) To regulate investment advisors and Investment Dealers
Solutions:
| Question # 1 Answer: C | Question # 2 Answer: A | Question # 3 Answer: C | Question # 4 Answer: A | Question # 5 Answer: B |
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