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CIRO CIRE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Client Complaint Handling and Reporting | ~5% | - Escalation, Recordkeeping and Reporting - Complaint Management Framework |
| Topic 2: Scope of Client Relationship, KYC and Suitability | ~15–18% | - Suitability Assessment and Obligations - Know Your Client (KYC) Requirements |
| Topic 3: Prospective Client Relationships | ~10% | - Know Your Prospect (KYP) and Disclosures - Relationship Discovery and Qualification |
| Topic 4: Derivatives Fundamentals | ~5–8% | - Risk and Suitability for Derivatives - Options, Futures and Forwards Basics |
| Topic 5: Securities and Managed Products | ~19% | - Equities, Fixed-Income and Managed Products - Fund Structures and Product Characteristics |
| Topic 6: Conflicts of Interest and Ethics | ~14–15% | - Client-Focused Reforms and Ethical Standards - Conflict Identification, Disclosure and Management |
| Topic 7: Overview of Regulatory Framework | ~10% | - Market Infrastructure and Protection Funds - Securities Legislation and Regulators (CSA, CIRO, FINTRAC) |
| Topic 8: Market Integrity, Trade Execution and Settlement | ~12% | - UMIR and Market Integrity Rules - Order Types, Execution and Settlement Processes |
| Topic 9: Market and Company Analysis | ~8% | - Fundamental and Technical Analysis - Investment Performance Benchmarks |
CIRO Canadian Investment Regulatory Sample Questions:
Which method is typically used to calculate the value of most equity indices?
- A. Adding stock prices of included companies divided by total number of companies
- B. Adding dividend yields of included companies divided by total number of companies
- C. Using a weighted average based on the market capitalization of each company
- D. Using the median stock price of the included companies for index calculation
Correct Answer: C 🗳️
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A leverage disclosure statement has been supplied to a retail client who has not yet acknowledged the statement. What is the requirement on a Registered Representative (RR)?
- A. Make no investment recommendations until acknowledgement is received
- B. Escalate this issue to the compliance department for investigation
- C. Remind the client they have five days to respond to the statement
- D. Continue to act for the client as the statement is supplied for information only
Correct Answer: A 🗳️
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What role do margin requirements play in managing risk for both short and long positions?
- A. They are not enforced for accounts where trades are executed at the dealer's discretion
- B. They apply exclusively to short positions, with no impact on long positions
- C. They require clients to maintain sufficient funds to cover losses in both short and long positions
- D. They increase the amount of capital needed but do not reduce the leverage available
Correct Answer: C 🗳️
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An investment advisor is discussing the risks of investing in crypto assets with a client. Which of the following is a typical feature of crypto assets?
- A. They are prone to sudden increases in supply diluting the price
- B. The heavy regulatory burden leads to high associated costs
- C. They are intangible so have no opportunity for long term gain
- D. Their value can be highly volatile, subject to market speculation
Correct Answer: D 🗳️
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An Investment Dealer is required to comply with which of the following when dealing with clients?
- A. Legislation, regulation and guidance
- B. Legislation, contract laws and codes
- C. Legislation, contract laws and regulations
- D. Regulation, guidance and codes
Correct Answer: C 🗳️
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