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CIRO CIRE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Overview of Regulatory Framework | ~10% | - Market Infrastructure and Protection Funds - Securities Legislation and Regulators (CSA, CIRO, FINTRAC) |
| Topic 2: Client Complaint Handling and Reporting | ~5% | - Complaint Management Framework - Escalation, Recordkeeping and Reporting |
| Topic 3: Scope of Client Relationship, KYC and Suitability | ~15–18% | - Suitability Assessment and Obligations - Know Your Client (KYC) Requirements |
| Topic 4: Securities and Managed Products | ~19% | - Equities, Fixed-Income and Managed Products - Fund Structures and Product Characteristics |
| Topic 5: Market Integrity, Trade Execution and Settlement | ~12% | - UMIR and Market Integrity Rules - Order Types, Execution and Settlement Processes |
| Topic 6: Market and Company Analysis | ~8% | - Investment Performance Benchmarks - Fundamental and Technical Analysis |
| Topic 7: Derivatives Fundamentals | ~5–8% | - Options, Futures and Forwards Basics - Risk and Suitability for Derivatives |
| Topic 8: Conflicts of Interest and Ethics | ~14–15% | - Client-Focused Reforms and Ethical Standards - Conflict Identification, Disclosure and Management |
| Topic 9: Prospective Client Relationships | ~10% | - Relationship Discovery and Qualification - Know Your Prospect (KYP) and Disclosures |
CIRO Canadian Investment Regulatory Sample Questions:
Question #1
Which of the following is an expected impact of high portfolio turnover on investment returns?
A. It decreases the tax burden, which increases returns
B. It guarantees higher investment returns for the client
C. It decreases the overall total risk of the portfolio
D. It increases transaction costs, which reduce returns
Question #2
What is the role of the Financial Transactions and Reports Analysis Centre of Canada (FINTRAC) in the investment industry sector?
A. To manage clearing and settlement of trades
B. To enforce securities laws across provinces
C. To monitor and report on suspicious financial transactions
D. To regulate investment advisors and Investment Dealers
Question #3
A shareholder owns shares in a company that announces a 2-for-1 stock split. Which of the following most accurately describes the impact of this stock split?
A. The number of shares owned by the shareholder will increase, but the overall value of the investment will increase as well
B. The stock split will decrease the total value of the shareholder's investment, causing the company's market capitalization to shrink
C. The total value of the shareholder's investment will remain the same, but the number of shares owned will double
D. The stock split will increase the shareholder's investment value because the company is essentially
"giving" more shares
Question #4
What is the purpose of the Canadian Anti-Spam Legislation (CASL)?
A. To ensure compliance with privacy law in email communications
B. To regulate the use of electronic signatures
C. To block unsolicited commercial messages without consent
D. To oversee securities-related email marketing campaigns
Question #5
Retail Investment Dealers may offer a range of accounts to clients. Which of the following best reflects that range?
A. Advisory; Managed; Discretionary
B. Advisory; Discretionary; Managed and Order execution only (OEO)
C. Advisory; Discretionary; Order execution only (OEO)
D. Advisory; Discretionary; Managed, Order execution only (OEO) and Direct Electronic Access (DEA)
Solutions:
| Question #1 Correct Answer: D | Question #2 Correct Answer: C | Question #3 Correct Answer: C | Question #4 Correct Answer: C | Question #5 Correct Answer: B |
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