CIRO Canadian Investment Regulatory : CIRE

Exam Code: CIRE

Exam Name: Canadian Investment Regulatory Exam

Updated: Oct 14, 2026

Q & A: 112 Questions and Answers

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CIRO CIRE Exam Syllabus Topics:

Section	Weight	Objectives
Client complaint handling and reporting	5%	- Prohibited practices in client settlement agreements - Recourse available to dissatisfied clients - Policies and procedures for reporting, handling and maintaining complaint records - Investment Dealer obligations to clients - Investment Dealer complaint reporting obligations and penalties - Role of CIRO and provincial regulators in the complaints handling framework - Potential client issues, liability and consequences
Market and company analysis	8%	- Basic economic theories - Industry performance analysis - Factors influencing the macroeconomy - Company performance analysis tools - Effects of macroeconomic factors on financial markets - Rules relating to companies - Economic indicators and sources of information - Technical and statistical analysis tools and information sources - Basic market theories and stock market behaviour
Conflicts of interest and ethics	15%	- Conflicts of interest management process - Importance of managing conflicts of interest - Requirements regarding positions of influence - Information controls, barriers, firewalls and restricted lists - Inappropriate or prohibited personal financial dealings with clients - Ethical principles and standards of conduct for Approved Persons and Investment Dealers - Client confidentiality policies and procedures - Activities outside an Investment Dealer - Role of cybersecurity in protecting confidential information - Importance of ethics and its relationship to rules - Ethical and legal responsibilities to clients - CIRO and other ethical standards of conduct
Securities, managed products, mutual funds and other investments	19%	- Considerations affecting exchange-traded fund investors - Types, features, risks and returns of fixed income securities and products - Asset classes generally sold and traded at an Investment Dealer - Types of pooled products - Features, risks and returns of managed products - Purpose and uses of market indices - Other investments including hedge funds, structured products, alternative investment funds, crypto assets and ESG-related products - Considerations affecting fixed income investors - Types, features, risks and returns of equities - Considerations affecting mutual fund investors - Considerations affecting equity investors and potential shareholders - Considerations affecting managed product investors
Overview of Canadian securities regulatory framework	10%	- Function and purpose of the Canadian Investor Protection Fund - Purpose and implications of the Bank Act and Bankruptcy and Insolvency Act - Anti-money laundering and anti-terrorist financing legislation and regulations - Other applicable laws including confidentiality, privacy, anti-spam, company disclosure and shareholder rights - Role and authority of the Canadian Investment Regulatory Organization - Function and purpose of clearing agencies - Function and purpose of investment industry marketplaces - Investment Dealer registration and individual approval requirements - Criminal Code and its application to financial crime - Role and authority of the Canadian Securities Administrators and provincial and territorial securities and derivatives regulators - Function and purpose of other investment industry regulators and agencies
Market integrity, trade execution and settlement	12%	- Order confirmation requirements - Features of different account types - Specialized trading agreements for derivative accounts - UMIR gatekeeping obligations - Gatekeeping requirements for manipulative and deceptive practices, unacceptable activities and front running - Features of different order types - Universal Market Integrity Rules - Order entry, trade management, settlement and delivery - Reporting obligations to firms and regulators - Margin requirements - Order variations, cancellations and corrections - Functions of investment banking, research and corporate finance
Scope of client relationships	15%	- Exemptions from suitability determination requirements - Investment performance benchmarks - Requirements for working with clients in the United States and other foreign jurisdictions - Typical services provided by institutional Investment Dealers - Systematic approaches to investment management and investment strategies - Suitability determination requirements for retail clients - Purpose and content of relationship disclosure - Product due diligence obligations - Trust, agency and fiduciary duty - Internal escalation procedures and subject matter experts - Account appropriateness versus suitability determination - Role of the Registered Representative in providing client service - Role of the Investment Representative in providing client service - Account appropriateness obligations - Typical services provided by retail Investment Dealers - Know-your-product obligations - Institutional client sophistication assessment and suitability exemptions
Derivatives	5%	- Basic uses of derivatives - Administrative requirements for derivative trading with clients - Features of other derivative contract types - Basic transactional elements of futures and options - Prohibited derivative trading practices - Listed versus over-the-counter derivative markets - Features of options contract types - Single and multi-legged derivative trading strategies
Prospective client relationships	10%	- Required account agreement and Firm Welcome package documents - Retail client information collection - Impact of fees, turnover and taxes on investment returns - Role of cost in product selection - Differences between retail and institutional clients - Institutional client qualification requirements - Third parties and other professionals in the client's life - Client record documentation, filing and maintenance - Client relationship model - Investment Dealer onboarding process - Exemptions under National Instrument 45-106

CIRO Canadian Investment Regulatory Sample Questions:

Question #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. Advising the company on tax strategies for their new capital
C. Managing the company's portfolio of investments
D. Assisting the company in raising capital through the sale of securities

Reveal Solution Discussion 0

Correct Answer: D 🗳️