CIRO CIRE : Canadian Investment Regulatory Exam

Exam Code: CIRE
Exam Name: Canadian Investment Regulatory Exam
Updated: Oct 11, 2026
Q & A: 112 Questions and Answers

About CIRO CIRE Exam Questions

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CIRO CIRE Exam Syllabus Topics:

Section	Weight	Objectives
Topic 1: Securities, managed products, mutual funds and other investments	19%	- Considerations affecting managed product investors - Types, features, risks and returns of equities - Types of pooled products - Considerations affecting equity investors and potential shareholders - Considerations affecting fixed income investors - Asset classes generally sold and traded at an Investment Dealer - Features, risks and returns of managed products - Considerations affecting exchange-traded fund investors - Types, features, risks and returns of fixed income securities and products - Other investments including hedge funds, structured products, alternative investment funds, crypto assets and ESG-related products - Considerations affecting mutual fund investors - Purpose and uses of market indices
Topic 2: Overview of Canadian securities regulatory framework	10%	- Function and purpose of clearing agencies - Function and purpose of other investment industry regulators and agencies - Criminal Code and its application to financial crime - Role and authority of the Canadian Investment Regulatory Organization - Other applicable laws including confidentiality, privacy, anti-spam, company disclosure and shareholder rights - Anti-money laundering and anti-terrorist financing legislation and regulations - Role and authority of the Canadian Securities Administrators and provincial and territorial securities and derivatives regulators - Function and purpose of investment industry marketplaces - Purpose and implications of the Bank Act and Bankruptcy and Insolvency Act - Investment Dealer registration and individual approval requirements - Function and purpose of the Canadian Investor Protection Fund
Topic 3: Market integrity, trade execution and settlement	12%	- Features of different account types - Functions of investment banking, research and corporate finance - Specialized trading agreements for derivative accounts - Reporting obligations to firms and regulators - UMIR gatekeeping obligations - Features of different order types - Order confirmation requirements - Gatekeeping requirements for manipulative and deceptive practices, unacceptable activities and front running - Order variations, cancellations and corrections - Margin requirements - Universal Market Integrity Rules - Order entry, trade management, settlement and delivery
Topic 4: Market and company analysis	8%	- Effects of macroeconomic factors on financial markets - Factors influencing the macroeconomy - Basic market theories and stock market behaviour - Basic economic theories - Economic indicators and sources of information - Company performance analysis tools - Rules relating to companies - Industry performance analysis - Technical and statistical analysis tools and information sources
Topic 5: Prospective client relationships	10%	- Differences between retail and institutional clients - Role of cost in product selection - Retail client information collection - Institutional client qualification requirements - Third parties and other professionals in the client's life - Client relationship model - Investment Dealer onboarding process - Required account agreement and Firm Welcome package documents - Client record documentation, filing and maintenance - Exemptions under National Instrument 45-106 - Impact of fees, turnover and taxes on investment returns
Topic 6: Client complaint handling and reporting	5%	- Prohibited practices in client settlement agreements - Role of CIRO and provincial regulators in the complaints handling framework - Policies and procedures for reporting, handling and maintaining complaint records - Potential client issues, liability and consequences - Recourse available to dissatisfied clients - Investment Dealer obligations to clients - Investment Dealer complaint reporting obligations and penalties
Topic 7: Scope of client relationships	15%	- Role of the Investment Representative in providing client service - Systematic approaches to investment management and investment strategies - Account appropriateness versus suitability determination - Role of the Registered Representative in providing client service - Internal escalation procedures and subject matter experts - Exemptions from suitability determination requirements - Know-your-product obligations - Typical services provided by institutional Investment Dealers - Typical services provided by retail Investment Dealers - Purpose and content of relationship disclosure - Product due diligence obligations - Institutional client sophistication assessment and suitability exemptions - Suitability determination requirements for retail clients - Requirements for working with clients in the United States and other foreign jurisdictions - Investment performance benchmarks - Account appropriateness obligations - Trust, agency and fiduciary duty
Topic 8: Conflicts of interest and ethics	15%	- Importance of managing conflicts of interest - CIRO and other ethical standards of conduct - Activities outside an Investment Dealer - Inappropriate or prohibited personal financial dealings with clients - Information controls, barriers, firewalls and restricted lists - Importance of ethics and its relationship to rules - Ethical principles and standards of conduct for Approved Persons and Investment Dealers - Requirements regarding positions of influence - Ethical and legal responsibilities to clients - Client confidentiality policies and procedures - Role of cybersecurity in protecting confidential information - Conflicts of interest management process
Topic 9: Derivatives	5%	- Listed versus over-the-counter derivative markets - Features of options contract types - Administrative requirements for derivative trading with clients - Prohibited derivative trading practices - Features of other derivative contract types - Basic uses of derivatives - Basic transactional elements of futures and options - Single and multi-legged derivative trading strategies

CIRO Canadian Investment Regulatory Sample Questions:

Question #1

How are new Canadian government bonds typically issued to the market?

A. Through direct sales to retail investors at a posted price
B. By auction where Investment Dealers bid based on the yield
C. At a set rate offered to institutions with the highest bids
D. By private placement agreements with institutional brokers

Reveal Solution Discussion 0

Correct Answer: B 🗳️