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CIRO CIRE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| 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 |
| Prospective Client Relationships | ~10% | - Know Your Prospect (KYP) and Disclosures - Relationship Discovery and Qualification |
| Client Complaint Handling and Reporting | ~5% | - Escalation, Recordkeeping and Reporting - Complaint Management Framework |
| Scope of Client Relationship, KYC and Suitability | ~15–18% | - Suitability Assessment and Obligations - Know Your Client (KYC) Requirements |
| Overview of Regulatory Framework | ~10% | - Securities Legislation and Regulators (CSA, CIRO, FINTRAC) - Market Infrastructure and Protection Funds |
| Market and Company Analysis | ~8% | - Investment Performance Benchmarks - Fundamental and Technical Analysis |
| Conflicts of Interest and Ethics | ~14–15% | - Conflict Identification, Disclosure and Management - Client-Focused Reforms and Ethical Standards |
| Market Integrity, Trade Execution and Settlement | ~12% | - Order Types, Execution and Settlement Processes - UMIR and Market Integrity Rules |
CIRO Canadian Investment Regulatory Sample Questions:
1. A trader expects the price of a stock to rise and wants to use a bullish strategy in options trading.
Which of the following strategies should the trader use?
A) Buying a call option
B) Buying a put option
C) Selling a put option
D) Selling a call option
2. When an employee of an Investment Dealer engages in an outside business activity what must they do?
A) Obtain prior written consent of the Investment Dealer
B) Be independently responsible for monitoring and compliance enforcement
C) Only recommend products and services offered by the Investment Dealer
D) Ensure it is closely aligned with their duties to the Investment Dealer
3. Which of the following accurately describes a key characteristic of mutual fund trusts?
A) They are subject to a flat tax rate, regardless of the income they generate
B) They invest in a diversified portfolio of assets and pass on income to unitholders
C) They are restricted to investing in government bonds and cannot hold equity investments
D) They issue shares that can be traded on the stock exchange, similar to stocks
4. An Investment Dealer has just received client information as part of the know-your-client (KYC) process. What is now required of the dealer within a reasonable time?
A) Prepare a standard portfolio for the client
B) Have the client confirm the accuracy of the information
C) Assign the client a risk rating based on market trends
D) Confirm the client's risk tolerance with external parties
5. How many days does a client have to refer a complaint to the Ombudsman for Banking Services and Investments (OBSI) after getting a final response from a firm?
A) 180 days from the date the complaint was made
B) 180 days from the date that CIRO was notified
C) 180 days from the date of the firm's initial response
D) 180 days from the client receiving a final response
Solutions:
| Question # 1 Answer: A | Question # 2 Answer: A | Question # 3 Answer: B | Question # 4 Answer: B | Question # 5 Answer: D |
