CIRO CIRE exam : Canadian Investment Regulatory Exam

Exam Code: CIRE
Exam Name: Canadian Investment Regulatory Exam
Updated: Sep 12, 2026
Q & A: 112 Questions and Answers

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CIRO CIRE Exam Syllabus Topics:

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

CIRO Canadian Investment Regulatory Sample Questions:

Question #1

An investment advisor for a discretionary account purchased a stock then realized it was not aligned with the client's know-your-client (KYC) documentation. The stock is sold for a small gain. What should the advisor do?

A. Conceal the error to avoid any reputational damage
B. Reinvest the proceeds in a stock that does align to offset the issue
C. The incident is reasonable practice with no further action needed
D. Notify the client and document the error as per firm policy

Answer: D