CIRO CIRE : Canadian Investment Regulatory Exam
- Exam Code: CIRE
- Exam Name: Canadian Investment Regulatory Exam
- Updated: Oct 14, 2026
- Q & A: 112 Questions and Answers
About CIRO CIRE Exam
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CIRO CIRE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Overview of Canadian securities regulatory framework | 10% | - Role and authority of the Canadian Investment Regulatory Organization - Function and purpose of other investment industry regulators and agencies - Function and purpose of investment industry marketplaces - Purpose and implications of the Bank Act and Bankruptcy and Insolvency Act - Role and authority of the Canadian Securities Administrators and provincial and territorial securities and derivatives regulators - Function and purpose of the Canadian Investor Protection Fund - Other applicable laws including confidentiality, privacy, anti-spam, company disclosure and shareholder rights - Criminal Code and its application to financial crime - Investment Dealer registration and individual approval requirements - Function and purpose of clearing agencies - Anti-money laundering and anti-terrorist financing legislation and regulations |
| Derivatives | 5% | - Prohibited derivative trading practices - Single and multi-legged derivative trading strategies - Basic uses of derivatives - Administrative requirements for derivative trading with clients - Basic transactional elements of futures and options - Features of options contract types - Features of other derivative contract types - Listed versus over-the-counter derivative markets |
| Scope of client relationships | 15% | - Requirements for working with clients in the United States and other foreign jurisdictions - Internal escalation procedures and subject matter experts - Account appropriateness obligations - Institutional client sophistication assessment and suitability exemptions - Trust, agency and fiduciary duty - Suitability determination requirements for retail clients - Typical services provided by retail Investment Dealers - Purpose and content of relationship disclosure - Role of the Investment Representative in providing client service - Account appropriateness versus suitability determination - Role of the Registered Representative in providing client service - Know-your-product obligations - Typical services provided by institutional Investment Dealers - Systematic approaches to investment management and investment strategies - Product due diligence obligations - Investment performance benchmarks - Exemptions from suitability determination requirements |
| Securities, managed products, mutual funds and other investments | 19% | - Types of pooled products - Considerations affecting managed product investors - Types, features, risks and returns of fixed income securities and products - Considerations affecting mutual fund investors - Features, risks and returns of managed products - Considerations affecting fixed income investors - Other investments including hedge funds, structured products, alternative investment funds, crypto assets and ESG-related products - Asset classes generally sold and traded at an Investment Dealer - Considerations affecting equity investors and potential shareholders - Considerations affecting exchange-traded fund investors - Purpose and uses of market indices - Types, features, risks and returns of equities |
| Market and company analysis | 8% | - Effects of macroeconomic factors on financial markets - Basic economic theories - Technical and statistical analysis tools and information sources - Rules relating to companies - Economic indicators and sources of information - Basic market theories and stock market behaviour - Factors influencing the macroeconomy - Industry performance analysis - Company performance analysis tools |
| Client complaint handling and reporting | 5% | - Recourse available to dissatisfied clients - Role of CIRO and provincial regulators in the complaints handling framework - Prohibited practices in client settlement agreements - Investment Dealer obligations to clients - Investment Dealer complaint reporting obligations and penalties - Potential client issues, liability and consequences - Policies and procedures for reporting, handling and maintaining complaint records |
| Market integrity, trade execution and settlement | 12% | - Order confirmation requirements - Specialized trading agreements for derivative accounts - Features of different order types - UMIR gatekeeping obligations - Order variations, cancellations and corrections - Order entry, trade management, settlement and delivery - Features of different account types - Reporting obligations to firms and regulators - Functions of investment banking, research and corporate finance - Margin requirements - Gatekeeping requirements for manipulative and deceptive practices, unacceptable activities and front running - Universal Market Integrity Rules |
| Conflicts of interest and ethics | 15% | - Importance of managing conflicts of interest - Requirements regarding positions of influence - Conflicts of interest management process - Importance of ethics and its relationship to rules - Ethical principles and standards of conduct for Approved Persons and Investment Dealers - Information controls, barriers, firewalls and restricted lists - CIRO and other ethical standards of conduct - Role of cybersecurity in protecting confidential information - Inappropriate or prohibited personal financial dealings with clients - Client confidentiality policies and procedures - Activities outside an Investment Dealer - Ethical and legal responsibilities to clients |
| Prospective client relationships | 10% | - Retail client information collection - Required account agreement and Firm Welcome package documents - Differences between retail and institutional clients - Investment Dealer onboarding process - Institutional client qualification requirements - Client relationship model - Client record documentation, filing and maintenance - Third parties and other professionals in the client's life - Exemptions under National Instrument 45-106 - Role of cost in product selection - Impact of fees, turnover and taxes on investment returns |
CIRO Canadian Investment Regulatory Sample Questions:
A leverage disclosure statement has been supplied to a retail client who has not yet acknowledged the statement. What is the requirement on a Registered Representative (RR)?
- A. Continue to act for the client as the statement is supplied for information only
- B. Remind the client they have five days to respond to the statement
- C. Make no investment recommendations until acknowledgement is received
- D. Escalate this issue to the compliance department for investigation
Correct Answer: C 🗳️
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Which of the following implications arises from the application of the Criminal Code to financial crimes?
- A. Canadian Investor Protection Fund (CIPF) must reimburse all clients affected by fraudulent activities committed by Investment Dealers
- B. Financial institutions are required to implement mandatory risk assessments for client portfolios
- C. Investment Dealers must develop anti-fraud policies to prevent criminal activities
- D. Securities markets must be supervised by a federal agency to avoid fraudulent activities
Correct Answer: C 🗳️
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What should a Registered Representative (RR) do if they unintentionally receive insider information about a publicly traded company?
- A. Refrain from using the information and report to compliance
- B. Act on the information to the benefit of their clients
- C. Share the information with trusted colleagues for advice
- D. Do not act and retain confidentiality to protect the source
Correct Answer: A 🗳️
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A company's financial analyst is reviewing the company's financial status as of the end of the fiscal year. Which financial statement will provide the necessary details about the company's assets and liabilities at that specific point in time?
- A. Statement of Comprehensive Income
- B. Income Statement
- C. Statement of Cash Flows
- D. Statement of Financial Position
Correct Answer: D 🗳️
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The requirement to collect know-your-client (KYC) information does not apply in which of the following scenarios?
- A. The client has more than $10m in assets
- B. The client is based in the U.S.A
- C. The client is receiving only limited investment advice
- D. The client is opening an order execution only (OEO) account
Correct Answer: D 🗳️
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