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CIRO CIRE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Market Integrity, Trade Execution and Settlement | ~12% | - Order Types, Execution and Settlement Processes - UMIR and Market Integrity Rules |
| Topic 2: Securities and Managed Products | ~19% | - Equities, Fixed-Income and Managed Products - Fund Structures and Product Characteristics |
| Topic 3: Prospective Client Relationships | ~10% | - Relationship Discovery and Qualification - Know Your Prospect (KYP) and Disclosures |
| Topic 4: Scope of Client Relationship, KYC and Suitability | ~15–18% | - Know Your Client (KYC) Requirements - Suitability Assessment and Obligations |
| Topic 5: Derivatives Fundamentals | ~5–8% | - Options, Futures and Forwards Basics - Risk and Suitability for Derivatives |
| Topic 6: Client Complaint Handling and Reporting | ~5% | - Complaint Management Framework - Escalation, Recordkeeping and Reporting |
| Topic 7: Overview of Regulatory Framework | ~10% | - Market Infrastructure and Protection Funds - Securities Legislation and Regulators (CSA, CIRO, FINTRAC) |
| Topic 8: Conflicts of Interest and Ethics | ~14–15% | - Conflict Identification, Disclosure and Management - Client-Focused Reforms and Ethical Standards |
| Topic 9: Market and Company Analysis | ~8% | - Fundamental and Technical Analysis - Investment Performance Benchmarks |
CIRO Canadian Investment Regulatory Sample Questions:
What is the purpose of the Canadian Anti-Spam Legislation (CASL)?
- A. To ensure compliance with privacy law in email communications
- B. To block unsolicited commercial messages without consent
- C. To regulate the use of electronic signatures
- D. To oversee securities-related email marketing campaigns
Correct Answer: B 🗳️
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A Portfolio Manager with discretionary accounts controls the proxy voting on behalf of clients. The firm does not typically participate in corporate governance votes but the manager's sister-in-law has been nominated for the board, and has asked the manager to vote in favour of her nomination. The manager believes she is well qualified. How should the manager proceed?
- A. The manager should vote against the nomination, as it could create a potential conflict of interest even though she is qualified
- B. Vote as requested by the sister-in-law, as the firm does not typically participate in governance votes, so this situation is unlikely to matter
- C. The manager should vote in favour of the nomination, but only if they disclose the personal relationship to clients before casting the vote
- D. The manager should abstain from voting, as the personal relationship with the nominee creates a potential conflict of interest
Correct Answer: D 🗳️
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An employee of an Investment Dealer may not, directly or indirectly, engage in any personal dealings with a client. Which of the following is considered a personal financial dealing?
- A. Acting as Power of Attorney where the client is a Related Person
- B. Accepting non-monetary consideration in return for priority treatment
- C. Borrowing from a client whose normal course of business includes lending money
- D. Borrowing from a client's firm whose normal course of business includes lending money
Correct Answer: B 🗳️
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What is the primary mandate of the Office of the Superintendent of Financial Institutions (OSFI)?
- A. Supervising federally-regulated financial institutions
- B. Investigating securities fraud
- C. Monitoring anti-money laundering compliance
- D. Managing investor protection funds
Correct Answer: A 🗳️
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Which of the following best describes the best execution rule?
- A. It ensures that trades are executed at the best possible price and reducing commissions
- B. It requires that trades are executed on the most advantageous terms for the client
- C. It mandates that trades must be executed at the price most favorable to the market participant
- D. It stipulates that all trades should be executed by the same dealer to maintain consistency
Correct Answer: B 🗳️
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