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CIRE practice question: Client complaint handling and reporting | EnCiro

Daily Challenge/March 28, 2026

🔥 Daily ChallengeCIREClient complaint handling and reportingMedium

Under the CIRO complaint handling framework, which of the following events involving an Approved Person must a firm report via the COMSET system?

3 attempts · 66.7% correct

A change in the Approved Person's residential address

A routine annual performance review of the Approved Person by the branch manager

The Approved Person's participation in a firm-sponsored charity event

The commencement of civil litigation against the Approved Person related to their businessCorrect

Why

Firms are required to report civil litigation, criminal charges, and internal investigations related to an Approved Person via COMSET.

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