CIRO CIRE : Canadian Investment Regulatory Exam
- Exam Code: CIRE
- Exam Name: Canadian Investment Regulatory Exam
- Updated: Aug 26, 2026
- Q & A: 112 Questions and Answers
About CIRO CIRE Exam
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CIRO CIRE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Securities, managed products, mutual funds and other investments | 19% | - Equities - Exchange-traded funds - Asset classes - Market indices - Equity investment considerations - Pooled products - Fixed income investment considerations - Managed products - Other investments - Mutual funds - Managed product investment considerations - Fixed income securities and products |
| Topic 2: Scope of client relationships | 15% | - Account appropriateness versus suitability - Clients residing in the United States and other foreign jurisdictions - Know-your-product requirements - Account appropriateness - Trust, agency and fiduciary duty - Institutional Investment Dealer services - Investment management styles and strategies - Suitability exemptions - Escalation to subject matter experts - Registered Representative role and client service - Product due diligence - Client suitability determination - Institutional client sophistication and suitability exemptions - Investment performance benchmarks - Retail Investment Dealer services - Investment Representative role and client service - Relationship disclosure |
| Topic 3: Derivatives | 5% | - Futures, forwards, swaps and contracts for difference - Transactional elements of futures and options - Listed and over-the-counter derivatives markets - Derivative trading strategies - Prohibited derivative trading practices - Uses of derivatives - Derivative account administration - Options |
| Topic 4: Overview of Canadian securities regulatory framework | 10% | - Other investment industry regulators and agencies - Clearing agencies - Canadian Investor Protection Fund - Criminal Code and financial crime - Marketplaces and trading venues - Bank Act and Bankruptcy and Insolvency Act - Role and authority of the Canadian Investment Regulatory Organization - Confidentiality, privacy, anti-spam and shareholder rights legislation - Investment Dealer registration and individual approval requirements - Role and authority of the Canadian Securities Administrators and provincial/territorial securities and derivatives regulators - Anti-money laundering requirements |
| Topic 5: Prospective client relationships | 10% | - Retail and institutional clients - Institutional client qualification - Account agreements and welcome documentation - Accredited investors and exemptions - Client recordkeeping - Retail client information and risk profile - Client relationship model - Investment Dealer onboarding process - Costs, fees, turnover and taxes - Third parties and professional advisers |
| Topic 6: Market and company analysis | 8% | - Company regulation, disclosure and investor rights - Industry performance analysis - Market theories and stock market behaviour - Technical and statistical analysis tools - Basic economic theories - Economic information and indicators - Macroeconomic effects on financial markets - Company performance analysis - Macroeconomic factors and policies |
| Topic 7: Conflicts of interest and ethics | 15% | - Cybersecurity and confidential information - Outside activities of Approved Persons - Ethics and regulatory rules - Personal financial dealings with clients - Information barriers and restricted lists - Ethical and legal responsibilities to clients - CIRO and other ethical standards - Ethical principles and standards of conduct - Conflict identification, avoidance, addressing and disclosure - Managing conflicts of interest - Positions of influence - Client confidentiality |
| Topic 8: Client complaint handling and reporting | 5% | - Investment Dealer obligations to clients - Settlement agreements with clients - Investment Dealer complaint reporting obligations - Client recourse options - Client issues and potential liability - Complaint policies, procedures and recordkeeping - CIRO and provincial regulator roles in complaint handling |
| Topic 9: Market integrity, trade execution and settlement | 12% | - Derivative trading agreements - Account types - Margin requirements - Reporting obligations - Order entry, trade processing, settlement and delivery - Order types - Order variations, cancellations and corrections - Gatekeeping for manipulative and deceptive practices - UMIR gatekeeping obligations - Investment banking, research and corporate finance - Universal Market Integrity Rules - Order confirmation requirements |
CIRO Canadian Investment Regulatory Sample Questions:
1. An Approved Person at an Investment Dealer has just helped a technology company go public. They also provided strategic advice on structuring the deal and pricing the shares. What is their primary role in this situation?
A) Helping the company monitor stock price fluctuations
B) Assisting the company in raising capital through the sale of securities
C) Advising the company on tax strategies for their new capital
D) Managing the company's portfolio of investments
2. Once the know-your-client (KYC) information has been collected what should an Investment Dealer do with that information?
A) Ensure the information is accurate and complete through its own verification
B) Take reasonable steps to have the client confirm the accuracy of the information
C) Require the client to sign a certification that the KYC information is complete and true
D) Review the information and then destroy it to comply with data retention rules
3. A compliance officer at an Investment Dealer notices a significant increase in trades of low-liquidity stocks. What is the most likely compliance issue?
A) Potential market manipulation or insider trading
B) Inaccurate records of the trades executed
C) Insufficient diversification in the client's portfolio
D) Failure to file taxes on the proceeds from the trades
4. 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
5. An Investment Dealer supplies its clients with specific information about its client account reporting.
Which of the following is true regarding the provision of information about client reporting?
A) It is optional
B) It is useful
C) It is recommended
D) It is mandatory
Solutions:
| Question # 1 Answer: B | Question # 2 Answer: B | Question # 3 Answer: A | Question # 4 Answer: A | Question # 5 Answer: D |
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