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CIRO CIRE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Scope of Client Relationship, KYC and Suitability | ~15–18% | - Suitability Assessment and Obligations - Know Your Client (KYC) Requirements |
| Client Complaint Handling and Reporting | ~5% | - Complaint Management Framework - Escalation, Recordkeeping and Reporting |
| Prospective Client Relationships | ~10% | - Relationship Discovery and Qualification - Know Your Prospect (KYP) and Disclosures |
| Derivatives Fundamentals | ~5–8% | - Risk and Suitability for Derivatives - Options, Futures and Forwards Basics |
| Overview of Regulatory Framework | ~10% | - Securities Legislation and Regulators (CSA, CIRO, FINTRAC) - Market Infrastructure and Protection Funds |
| 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 |
| Market Integrity, Trade Execution and Settlement | ~12% | - Order Types, Execution and Settlement Processes - UMIR and Market Integrity Rules |
| Market and Company Analysis | ~8% | - Fundamental and Technical Analysis - Investment Performance Benchmarks |
CIRO Canadian Investment Regulatory Sample Questions:
1. An Investment Dealer wants to set up and operate a new alternative trading system (ATS). What must they ensure to be compliant?
A) Restrict ATS access to institutional investors
B) Secure Canadian Securities Administrators (CSA) recognition as a regulated marketplace
C) Notify the Financial Transactions and Reports Analysis Centre of Canada (FINTRAC) of all client transactions
D) Limit trading to domestic securities
2. An Investment Dealer is required to comply with which of the following when dealing with clients?
A) Legislation, contract laws and regulations
B) Legislation, contract laws and codes
C) Regulation, guidance and codes
D) Legislation, regulation and guidance
3. When an employee of an Investment Dealer engages in an outside business activity what must they do?
A) Ensure it is closely aligned with their duties to the Investment Dealer
B) Only recommend products and services offered by the Investment Dealer
C) Obtain prior written consent of the Investment Dealer
D) Be independently responsible for monitoring and compliance enforcement
4. An investor is considering mutual funds but has concerns about potential drawbacks. What is one significant disadvantage of investing in mutual funds?
A) Professional management of the fund
B) Fees and expenses reducing overall returns
C) Liquidity allowing easy buying and selling
D) High diversification in the portfolio
5. A shareholder in Canada receives a dividend payment from a Canadian corporation. Which of the following best describes how dividends are typically received in Canada?
A) Dividends are paid directly to the shareholder's bank or brokerage account
B) Dividends are paid in a combination of stock and cash, where shareholders decide case by case
C) Dividends are automatically reinvested unless the shareholder opts out
D) Dividends are declared and distributed after shareholders submit a claim of dividend
Solutions:
| Question # 1 Answer: B | Question # 2 Answer: A | Question # 3 Answer: C | Question # 4 Answer: B | Question # 5 Answer: A |
