CIRO Canadian Investment Regulatory : CIRE

Exam Code: CIRE
Exam Name: Canadian Investment Regulatory Exam
Updated: Nov 14, 2026
Q & A: 112 Questions and Answers

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CIRO CIRE Exam Syllabus Topics:

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

CIRO Canadian Investment Regulatory Sample Questions:

Question #1

When must costs associated with an investment product be disclosed to a client?

A. During the initial onboarding process and when recommending products
B. Disclosure of costs is optional if the product exceeds its benchmark
C. Only when the client requests specific information about costs
D. In the transaction confirmation after the product has been purchased

Reveal Solution Discussion 0

Correct Answer: A 🗳️