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CIRO CIRE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Overview of Regulatory Framework | ~10% | - Securities Legislation and Regulators (CSA, CIRO, FINTRAC) - Market Infrastructure and Protection Funds |
| Derivatives Fundamentals | ~5–8% | - Options, Futures and Forwards Basics - Risk and Suitability for Derivatives |
| Client Complaint Handling and Reporting | ~5% | - Complaint Management Framework - Escalation, Recordkeeping and Reporting |
| Securities and Managed Products | ~19% | - Fund Structures and Product Characteristics - Equities, Fixed-Income and Managed Products |
| Market and Company Analysis | ~8% | - Fundamental and Technical Analysis - Investment Performance Benchmarks |
| Prospective Client Relationships | ~10% | - Relationship Discovery and Qualification - Know Your Prospect (KYP) and Disclosures |
| Conflicts of Interest and Ethics | ~14–15% | - Conflict Identification, Disclosure and Management - Client-Focused Reforms and Ethical Standards |
| Scope of Client Relationship, KYC and Suitability | ~15–18% | - Suitability Assessment and Obligations - Know Your Client (KYC) Requirements |
| Market Integrity, Trade Execution and Settlement | ~12% | - UMIR and Market Integrity Rules - Order Types, Execution and Settlement Processes |
CIRO Canadian Investment Regulatory Sample Questions:
What should a Registered Representative (RR) do if a client requests to share sensitive investment documents through an unsecured platform?
- A. Encrypt the documents according to firm policy and proceed without informing the client
- B. Share the documents in the manner requested to maintain the client relationship
- C. Explain the risks and offer secure alternatives for sharing information
- D. Share the documents but alert the cybersecurity team so they can look for data breaches
Correct Answer: C 🗳️
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What is the most likely consequence if an Investment Dealer breaches CIRO rules?
- A. External monitor appointed to oversee
- B. Inability to onboard institutional investors
- C. Increased risk of regulatory penalties
- D. Client accounts being frozen
Correct Answer: C 🗳️
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Which of the following best defines the main objective of fundamental analysis in relation to stock market behavior?
- A. To evaluate a company's financial health and intrinsic value
- B. To analyze historical stock prices to forecast future trends
- C. To predict short-term price movements based on market sentiment
- D. To identify stock price movements based on technical chart patterns
Correct Answer: A 🗳️
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What information should the Relationship Disclosure specify in relation to benchmarks?
- A. A general explanation of how benchmarks might be used to assess performance
- B. At least three different benchmarks to assess performance
- C. All the benchmarks which competitor products use to assess performance
- D. All the available benchmarks which could have been used to assess performance
Correct Answer: A 🗳️
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The requirement to collect know-your-client (KYC) information does not apply in which of the following scenarios?
- A. The client is receiving only limited investment advice
- B. The client has more than $10m in assets
- C. The client is based in the U.S.A
- D. The client is opening an order execution only (OEO) account
Correct Answer: D 🗳️
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