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CIRO CIRE Exam Syllabus Topics:

CIRO Canadian Investment Regulatory Sample Questions:

1. What is a futures contract?

A) A financial contract that allows the buyer to borrow funds to purchase an investment asset
B) A financial contract that allows the buyer to buy an asset at any time before the expiration date
C) A contract that obligates the buyer to buy an asset at a specified price on a specified future date
D) A contract granting the buyer the right but not obligation to buy an asset at a specified future price

2. An investor is considering investing in a private equity fund. Which of the following features is most commonly associated with private equity funds?

A) They are usually structured like mutual funds and offer daily trading opportunities, providing high liquidity to investors
B) They typically invest in publicly traded stocks and rely on market liquidity to generate returns
C) They offer immediate returns with minimal risk, providing quick liquidity similar to publicly traded securities
D) They involve actively managing and improving the performance of portfolio companies before exiting

3. 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) 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
B) The manager should abstain from voting, as the personal relationship with the nominee creates a potential conflict of interest
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 vote against the nomination, as it could create a potential conflict of interest even though she is qualified

4. An Investment Representative (IR) is asked by a client for information about a service that the IR does not fully understand. What is the IR's ethical responsibility?

A) So as not to diminish investor confidence, explain the service in positive terms
B) In putting the client first, the IR should state the service is not available
C) In the spirit of openness and fairness, ask a colleague better placed to explain
D) In order not to be negligent, explain the service to the best of their ability

5. What must an Approved Person understand about securities to comply with know-your-product (KYP) obligations?

A) The securities' intended use by the client
B) The securities' structure, features, and risks
C) Alternative securities that may be suitable
D) The market demand and media coverage

Solutions: