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CIRO CIRE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Scope of Client Relationship, KYC and Suitability | ~15–18% | - Know Your Client (KYC) Requirements - Suitability Assessment and Obligations |
| Overview of Regulatory Framework | ~10% | - Market Infrastructure and Protection Funds - Securities Legislation and Regulators (CSA, CIRO, FINTRAC) |
| Securities and Managed Products | ~19% | - Fund Structures and Product Characteristics - Equities, Fixed-Income and Managed Products |
| Market Integrity, Trade Execution and Settlement | ~12% | - UMIR and Market Integrity Rules - Order Types, Execution and Settlement Processes |
| Conflicts of Interest and Ethics | ~14–15% | - Conflict Identification, Disclosure and Management - Client-Focused Reforms and Ethical Standards |
| Market and Company Analysis | ~8% | - Fundamental and Technical Analysis - Investment Performance Benchmarks |
| Prospective Client Relationships | ~10% | - Know Your Prospect (KYP) and Disclosures - Relationship Discovery and Qualification |
| Derivatives Fundamentals | ~5–8% | - Risk and Suitability for Derivatives - Options, Futures and Forwards Basics |
| Client Complaint Handling and Reporting | ~5% | - Escalation, Recordkeeping and Reporting - Complaint Management Framework |
CIRO Canadian Investment Regulatory Sample Questions:
When must costs associated with an investment product be disclosed to a client?
- A. In the transaction confirmation after the product has been purchased
- B. Only when the client requests specific information about costs
- C. During the initial onboarding process and when recommending products
- D. Disclosure of costs is optional if the product exceeds its benchmark
Correct Answer: C 🗳️
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A Registered Representative (RR) determines that an investment strategy is not suitable for a retail client. The client decides that they want to invest anyway. Which of the following should the RR do?
- A. Refuse to undertake the investment strategy
- B. Report the request as an unacceptable trade
- C. Recommend an alternative action that is suitable
- D. Seek advice from a self-regulatory authority
Correct Answer: C 🗳️
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When do retail client suitability determination requirements apply?
- A. Within a reasonable time of an Investment Dealer purchasing, selling, withdrawing or exchanging securities for a retail client's account
- B. Before an Investment Dealer onboards a new client as part of the know-your-client (KYC) approach
- C. In relation to the sale or purchase of investments for a retail client but not where exchanges or withdrawals are made
- D. Before an Investment Dealer purchases, sells, withdraws, exchanges or transfers-out securities for a retail client's account
Correct Answer: D 🗳️
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What is the best course of action if an Investment Representative (IR) discovers a colleague engaging in what appears to be unethical behaviour?
- A. Ignore the behaviour to avoid potential conflict
- B. Confront the colleague privately to let them know
- C. Report it immediately to the regulatory authorities
- D. Report the activity to the appropriate firm authority
Correct Answer: D 🗳️
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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. Remind the client they have five days to respond to the statement
- C. Escalate this issue to the compliance department for investigation
- D. Continue to act for the client as the statement is supplied for information only
Correct Answer: A 🗳️
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