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CIRO CIRE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Derivatives Fundamentals | ~5–8% | - Risk and Suitability for Derivatives - Options, Futures and Forwards Basics |
| Topic 2: Market and Company Analysis | ~8% | - Investment Performance Benchmarks - Fundamental and Technical Analysis |
| Topic 3: Client Complaint Handling and Reporting | ~5% | - Escalation, Recordkeeping and Reporting - Complaint Management Framework |
| Topic 4: Scope of Client Relationship, KYC and Suitability | ~15–18% | - Suitability Assessment and Obligations - Know Your Client (KYC) Requirements |
| Topic 5: Prospective Client Relationships | ~10% | - Know Your Prospect (KYP) and Disclosures - Relationship Discovery and Qualification |
| Topic 6: Conflicts of Interest and Ethics | ~14–15% | - Client-Focused Reforms and Ethical Standards - Conflict Identification, Disclosure and Management |
| Topic 7: Market Integrity, Trade Execution and Settlement | ~12% | - UMIR and Market Integrity Rules - Order Types, Execution and Settlement Processes |
| Topic 8: Overview of Regulatory Framework | ~10% | - Market Infrastructure and Protection Funds - Securities Legislation and Regulators (CSA, CIRO, FINTRAC) |
| Topic 9: Securities and Managed Products | ~19% | - Equities, Fixed-Income and Managed Products - Fund Structures and Product Characteristics |
CIRO Canadian Investment Regulatory Sample Questions:
1. What is a futures contract?
A) A financial contract that allows the buyer to borrow funds to purchase an investment asset
B) A financial contract that allows the buyer to buy an asset at any time before the expiration date
C) A contract that obligates the buyer to buy an asset at a specified price on a specified future date
D) A contract granting the buyer the right but not obligation to buy an asset at a specified future price
2. In relation to suitability which of the following is true?
A) There may be multiple recommendations that prioritize both client and dealer interests
B) There can only be one suitable recommendation balancing client and dealer interests
C) There may be multiple suitable recommendations that put the client's interest first
D) There can only be one suitable recommendation that puts the client's interest first
3. An employee or Approved Person must not engage in any personal financial dealings with clients.
Which of the following is least likely to be a prohibited dealing?
A) Lending money to or borrowing from a client
B) Providing discretionary investment management services to the client
C) Paying client account losses out of personal funds
D) Accepting personal consideration or remuneration from the client
4. What is the primary purpose of the know-your-client (KYC) process under CIRO rules?
A) To evaluate the Investment Dealer's suitability determination
B) To establish the client's personal and financial circumstances
C) To streamline the investment process for Registered Representatives (RRs)
D) To level the investment playing field for all the firm's clients
5. An investor is researching equity products and wants to ensure they are using reliable sources of information. They focus on platforms that provide financial statements, regulatory filings, and official disclosures. What is the most appropriate source for accessing such information in Canada?
A) Equity research platforms that compile analyst ratings and performance metrics
B) System for Electronic Document Analysis and Retrieval (SEDAR+) platform for access to financial statements and regulated filings
C) Websites that display market data and investor commentary from multiple sources
D) Financial news services that summarize company earnings and analyst forecasts
Solutions:
| Question # 1 Answer: C | Question # 2 Answer: C | Question # 3 Answer: B | Question # 4 Answer: B | Question # 5 Answer: B |
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