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CIRE Element 4 Module: Client complaint handling and reporting

CIRE Element 4 Module: Client complaint handling and reporting

CIRE exam preparation module · English and French included

Regular price $29.00 CAD
Regular price Sale price $29.00 CAD
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Purchase details: One-time payment at the price shown, plus applicable sales taxes calculated at checkout · 6 months of access · No subscription or automatic renewal · Terms of sale and refunds

A full CIRE preparation course is coming soon. This purchase includes this module only.

Understand investment dealers' responsibilities for handling client complaints, reporting requirements and the recourse available to clients with the module for CIRE Element 4, Client complaint handling and reporting, in English and French.

Understand. Practice. Improve.

  • Understand. Structured lessons covering the concepts in the element.
  • Practice. Practice questions written by CIROPrep, with an explanation for every answer.
  • Improve. Summaries, flashcards, mind maps and exam tips to reinforce your learning.

On the exam

Under the CIRE syllabus's indicative weighting, about 6 of the exam's 110 questions cover Element 4. Actual exam content may vary.

Access and price

$29 CAD plus applicable sales taxes. One-time payment for 6 months of access on ciroprep.academy. English and French included. No automatic renewal.

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Module structure

This module groups related learning outcomes into units and lessons to help you organize your study plan.

Unit 1 Dealer obligations and complaint handling

  • 4.1 The dealer's obligations to clients
  • 4.2 Who oversees complaints, and the dealer's complaint process
  • 4.3 Reporting complaints and settling with clients

Unit 2 Liability and client recourse

  • 4.4 Client issues that lead to liability
  • 4.5 A dissatisfied client's recourse