CIRO CIRE exam : Canadian Investment Regulatory Exam

Exam Code: CIRE
Exam Name: Canadian Investment Regulatory Exam
Updated: Oct 08, 2026
Q & A: 112 Questions and Answers

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CIRO CIRE Exam Syllabus Topics:

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

CIRO Canadian Investment Regulatory Sample Questions:

Question #1

A shareholder owns shares in a company that announces a 2-for-1 stock split. Which of the following most accurately describes the impact of this stock split?

A. The number of shares owned by the shareholder will increase, but the overall value of the investment will increase as well
B. The stock split will decrease the total value of the shareholder's investment, causing the company's market capitalization to shrink
C. The total value of the shareholder's investment will remain the same, but the number of shares owned will double
D. The stock split will increase the shareholder's investment value because the company is essentially
"giving" more shares

Reveal Solution Discussion 0

Correct Answer: C 🗳️