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CIRO CIRE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Market Integrity, Trade Execution and Settlement | ~12% | - Order Types, Execution and Settlement Processes - UMIR and Market Integrity Rules |
| Scope of Client Relationship, KYC and Suitability | ~15β18% | - Know Your Client (KYC) Requirements - Suitability Assessment and Obligations |
| Client Complaint Handling and Reporting | ~5% | - Complaint Management Framework - Escalation, Recordkeeping and Reporting |
| Overview of Regulatory Framework | ~10% | - Market Infrastructure and Protection Funds - Securities Legislation and Regulators (CSA, CIRO, FINTRAC) |
| Market and Company Analysis | ~8% | - Investment Performance Benchmarks - Fundamental and Technical Analysis |
| Securities and Managed Products | ~19% | - Equities, Fixed-Income and Managed Products - Fund Structures and Product Characteristics |
| Conflicts of Interest and Ethics | ~14β15% | - Client-Focused Reforms and Ethical Standards - Conflict Identification, Disclosure and Management |
| Derivatives Fundamentals | ~5β8% | - Options, Futures and Forwards Basics - Risk and Suitability for Derivatives |
| Prospective Client Relationships | ~10% | - Relationship Discovery and Qualification - Know Your Prospect (KYP) and Disclosures |
CIRO Canadian Investment Regulatory Sample Questions:
Which of the following is an example of an instrument issued by the Canadian Securities Administrators (CSA)?
- A. Universal Market Integrity Rules (UMIR)
- B. Investment Dealer Partially Consolidated Rules (IDPC)
- C. Financial Transactions and Reports Analysis Centre of Canada (FINTRAC) guidelines
- D. National Policy 11-202: Process for Prospectus Reviews
Correct Answer: D π³οΈ
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An investment advisor for a discretionary account purchased a stock then realized it was not aligned with the client's know-your-client (KYC) documentation. The stock is sold for a small gain. What should the advisor do?
- A. Notify the client and document the error as per firm policy
- B. Reinvest the proceeds in a stock that does align to offset the issue
- C. The incident is reasonable practice with no further action needed
- D. Conceal the error to avoid any reputational damage
Correct Answer: A π³οΈ
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Which of the following best defines a retail client under CIRO rules?
- A. An entity registered under securities law as a regulated dealer
- B. A government-regulated institution with waived know-your-client (KYC) requirements
- C. An entity that requires full compliance with suitability and disclosure obligations
- D. A client that must meet strict regulatory criteria to qualify as an investor
Correct Answer: C π³οΈ
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Following two recent annual reviews it was determined that a client's commission-based account is appropriately balanced. The advisor recommends trades that are unnecessary to fulfil the client's investment goals, and describes the key features of the product including the costs. Which of the following is true?
- A. This is a potential failure of the duty of best execution
- B. This is not a violation because the account was appropriately balanced
- C. This is not a violation because the advisor disclosed all the costs
- D. This is a potential breach of the advisor's fiduciary duty
Correct Answer: D π³οΈ
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What is a futures contract?
- A. A contract granting the buyer the right but not obligation to buy an asset at a specified future price
- B. A financial contract that allows the buyer to borrow funds to purchase an investment asset
- C. A contract that obligates the buyer to buy an asset at a specified price on a specified future date
- D. A financial contract that allows the buyer to buy an asset at any time before the expiration date
Correct Answer: C π³οΈ
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This means that if due to any reason you are not able to pass the CIRE actual exam even after using our product, we will reimburse the full amount you spent on our products. you just need to mail us your score report along with your account information to address listed below within 7 days after your unqualified certificate came out.
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