CIRO Canadian Investment Regulatory : CIRE exam
- Exam Code: CIRE
- Exam Name: Canadian Investment Regulatory Exam
- Updated: Aug 28, 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% | - Recourse available to dissatisfied clients - Role of CIRO and provincial regulators in the complaints handling framework - Investment Dealer complaint reporting obligations and penalties - Policies and procedures for reporting, handling and maintaining complaint records - Investment Dealer obligations to clients - Potential client issues, liability and consequences - Prohibited practices in client settlement agreements |
| Securities, managed products, mutual funds and other investments | 19% | - Considerations affecting exchange-traded fund investors - Asset classes generally sold and traded at an Investment Dealer - Considerations affecting mutual fund investors - Other investments including hedge funds, structured products, alternative investment funds, crypto assets and ESG-related products - Types, features, risks and returns of fixed income securities and products - Considerations affecting managed product investors - Features, risks and returns of managed products - Types of pooled products - Types, features, risks and returns of equities - Purpose and uses of market indices - Considerations affecting equity investors and potential shareholders - Considerations affecting fixed income investors |
| Market integrity, trade execution and settlement | 12% | - Universal Market Integrity Rules - Features of different account types - Order entry, trade management, settlement and delivery - Reporting obligations to firms and regulators - Gatekeeping requirements for manipulative and deceptive practices, unacceptable activities and front running - Order confirmation requirements - UMIR gatekeeping obligations - Order variations, cancellations and corrections - Specialized trading agreements for derivative accounts - Features of different order types - Functions of investment banking, research and corporate finance - Margin requirements |
| Market and company analysis | 8% | - Basic market theories and stock market behaviour - Rules relating to companies - Company performance analysis tools - Basic economic theories - Economic indicators and sources of information - Technical and statistical analysis tools and information sources - Industry performance analysis - Factors influencing the macroeconomy - Effects of macroeconomic factors on financial markets |
| Prospective client relationships | 10% | - Institutional client qualification requirements - Required account agreement and Firm Welcome package documents - Third parties and other professionals in the client's life - Role of cost in product selection - Investment Dealer onboarding process - Retail client information collection - Client relationship model - Impact of fees, turnover and taxes on investment returns - Exemptions under National Instrument 45-106 - Differences between retail and institutional clients - Client record documentation, filing and maintenance |
| Scope of client relationships | 15% | - Investment performance benchmarks - Purpose and content of relationship disclosure - Account appropriateness obligations - Product due diligence obligations - Requirements for working with clients in the United States and other foreign jurisdictions - Role of the Registered Representative in providing client service - Systematic approaches to investment management and investment strategies - Internal escalation procedures and subject matter experts - Suitability determination requirements for retail clients - Account appropriateness versus suitability determination - Role of the Investment Representative in providing client service - Typical services provided by institutional Investment Dealers - Know-your-product obligations - Trust, agency and fiduciary duty - Typical services provided by retail Investment Dealers - Exemptions from suitability determination requirements - Institutional client sophistication assessment and suitability exemptions |
| Overview of Canadian securities regulatory framework | 10% | - Role and authority of the Canadian Securities Administrators and provincial and territorial securities and derivatives regulators - Purpose and implications of the Bank Act and Bankruptcy and Insolvency Act - Criminal Code and its application to financial crime - Function and purpose of investment industry marketplaces - Role and authority of the Canadian Investment Regulatory Organization - Other applicable laws including confidentiality, privacy, anti-spam, company disclosure and shareholder rights - Investment Dealer registration and individual approval requirements - Function and purpose of the Canadian Investor Protection Fund - Anti-money laundering and anti-terrorist financing legislation and regulations - Function and purpose of other investment industry regulators and agencies - Function and purpose of clearing agencies |
| Derivatives | 5% | - Administrative requirements for derivative trading with clients - Basic transactional elements of futures and options - Basic uses of derivatives - Listed versus over-the-counter derivative markets - Features of options contract types - Prohibited derivative trading practices - Single and multi-legged derivative trading strategies - Features of other derivative contract types |
| Conflicts of interest and ethics | 15% | - Importance of ethics and its relationship to rules - Activities outside an Investment Dealer - Requirements regarding positions of influence - Conflicts of interest management process - Role of cybersecurity in protecting confidential information - Client confidentiality policies and procedures - Importance of managing conflicts of interest - Information controls, barriers, firewalls and restricted lists - Ethical and legal responsibilities to clients - Inappropriate or prohibited personal financial dealings with clients - Ethical principles and standards of conduct for Approved Persons and Investment Dealers - CIRO and other ethical standards of conduct |
CIRO Canadian Investment Regulatory Sample Questions:
1. What information should the Relationship Disclosure specify in relation to benchmarks?
A) All the benchmarks which competitor products use to assess performance
B) All the available benchmarks which could have been used to assess performance
C) At least three different benchmarks to assess performance
D) A general explanation of how benchmarks might be used to assess performance
2. Which of the following is an expected impact of high portfolio turnover on investment returns?
A) It decreases the tax burden, which increases returns
B) It decreases the overall total risk of the portfolio
C) It increases transaction costs, which reduce returns
D) It guarantees higher investment returns for the client
3. Which of the following best defines a retail client under CIRO rules?
A) A client that must meet strict regulatory criteria to qualify as an investor
B) An entity registered under securities law as a regulated dealer
C) A government-regulated institution with waived know-your-client (KYC) requirements
D) An entity that requires full compliance with suitability and disclosure obligations
4. Which of the following is an example of an instrument issued by the Canadian Securities Administrators (CSA)?
A) Universal Market Integrity Rules (UMIR)
B) Investment Dealer Partially Consolidated Rules (IDPC)
C) National Policy 11-202: Process for Prospectus Reviews
D) Financial Transactions and Reports Analysis Centre of Canada (FINTRAC) guidelines
5. Which of the following accurately describes a key characteristic of mutual fund trusts?
A) They issue shares that can be traded on the stock exchange, similar to stocks
B) They are restricted to investing in government bonds and cannot hold equity investments
C) They invest in a diversified portfolio of assets and pass on income to unitholders
D) They are subject to a flat tax rate, regardless of the income they generate
Solutions:
| Question # 1 Answer: D | Question # 2 Answer: C | Question # 3 Answer: D | Question # 4 Answer: C | Question # 5 Answer: C |
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