CIRO Canadian Investment Regulatory : CIRE

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

CIRO Canadian Investment Regulatory Sample Questions:

Question #1

What is the Investment Dealer's obligation regarding cost discussions for deferred sales charge products?

A. Disclose the deferred charges when they are going to be triggered
B. Deferred sales charges only apply to institutional clients
C. Avoid discussing deferred charges as they are managed by the fund provider
D. Explain upfront the potential charges triggered by early redemption

Reveal Solution Discussion 0

Correct Answer: D 🗳️