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CIRO CIRE : Canadian Investment Regulatory Exam
- Exam Code: CIRE
- Exam Name: Canadian Investment Regulatory Exam
- Updated: Sep 17, 2026
About CIRO CIRE Exam
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CIRO CIRE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Prospective client relationships | 10% | - Accredited investors and exemptions - Costs, fees, turnover and taxes - Retail and institutional clients - Retail client information and risk profile - Account agreements and welcome documentation - Investment Dealer onboarding process - Client recordkeeping - Third parties and professional advisers - Client relationship model - Institutional client qualification |
| Securities, managed products, mutual funds and other investments | 19% | - Asset classes - Fixed income securities and products - Managed product investment considerations - Mutual funds - Managed products - Market indices - Exchange-traded funds - Equity investment considerations - Equities - Other investments - Pooled products - Fixed income investment considerations |
| Conflicts of interest and ethics | 15% | - Outside activities of Approved Persons - Personal financial dealings with clients - Ethical principles and standards of conduct - Ethics and regulatory rules - Positions of influence - Ethical and legal responsibilities to clients - CIRO and other ethical standards - Client confidentiality - Conflict identification, avoidance, addressing and disclosure - Managing conflicts of interest - Cybersecurity and confidential information - Information barriers and restricted lists |
| Scope of client relationships | 15% | - Institutional Investment Dealer services - Trust, agency and fiduciary duty - Suitability exemptions - Investment management styles and strategies - Client suitability determination - Relationship disclosure - Registered Representative role and client service - Account appropriateness - Escalation to subject matter experts - Know-your-product requirements - Retail Investment Dealer services - Investment Representative role and client service - Product due diligence - Institutional client sophistication and suitability exemptions - Investment performance benchmarks - Account appropriateness versus suitability - Clients residing in the United States and other foreign jurisdictions |
| Market and company analysis | 8% | - Company performance analysis - Basic economic theories - Technical and statistical analysis tools - Company regulation, disclosure and investor rights - Market theories and stock market behaviour - Macroeconomic effects on financial markets - Macroeconomic factors and policies - Economic information and indicators - Industry performance analysis |
| Overview of Canadian securities regulatory framework | 10% | - Confidentiality, privacy, anti-spam and shareholder rights legislation - Criminal Code and financial crime - Canadian Investor Protection Fund - Role and authority of the Canadian Investment Regulatory Organization - Clearing agencies - Anti-money laundering requirements - Other investment industry regulators and agencies - Marketplaces and trading venues - Bank Act and Bankruptcy and Insolvency Act - Role and authority of the Canadian Securities Administrators and provincial/territorial securities and derivatives regulators - Investment Dealer registration and individual approval requirements |
| Client complaint handling and reporting | 5% | - CIRO and provincial regulator roles in complaint handling - Client recourse options - Client issues and potential liability - Complaint policies, procedures and recordkeeping - Settlement agreements with clients - Investment Dealer complaint reporting obligations - Investment Dealer obligations to clients |
| Derivatives | 5% | - Futures, forwards, swaps and contracts for difference - Transactional elements of futures and options - Derivative account administration - Listed and over-the-counter derivatives markets - Options - Derivative trading strategies - Prohibited derivative trading practices - Uses of derivatives |
| Market integrity, trade execution and settlement | 12% | - Order entry, trade processing, settlement and delivery - Reporting obligations - Order types - Investment banking, research and corporate finance - Margin requirements - Universal Market Integrity Rules - Account types - Gatekeeping for manipulative and deceptive practices - Derivative trading agreements - Order confirmation requirements - UMIR gatekeeping obligations - Order variations, cancellations and corrections |
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 total value of the shareholder's investment will remain the same, but the number of shares owned will double
- B. The stock split will decrease the total value of the shareholder's investment, causing the company's market capitalization to shrink
- C. The stock split will increase the shareholder's investment value because the company is essentially
"giving" more shares - D. The number of shares owned by the shareholder will increase, but the overall value of the investment will increase as well
Correct Answer: A 🗳️
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Question #2
A compliance officer at an Investment Dealer notices a significant increase in trades of low-liquidity stocks. What is the most likely compliance issue?
- A. Insufficient diversification in the client's portfolio
- B. Potential market manipulation or insider trading
- C. Failure to file taxes on the proceeds from the trades
- D. Inaccurate records of the trades executed
Correct Answer: B 🗳️
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Question #3
A client calls their Investment Dealer to cancel an order to purchase 1,000 shares of a stock. However, the order has already been executed. What is the Investment Dealer's most appropriate action in this situation?
- A. The dealer should try to reverse the trade as soon as possible by executing a new opposing trade
- B. The dealer should inform the client they need to file a request with the exchange to cancel order
- C. The dealer should cancel the order as per the client's request, regardless of the execution status
- D. The dealer should inform the client that the order has already been executed and that it cannot be undone
Correct Answer: D 🗳️
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Question #4
Which is the best definition of a Registered Representative (RR)?
- A. An individual approved by CIRO authorized to trade or advise on securities, options and futures
- B. An individual approved by CIRO to trade but not advise on securities, options and futures contracts
- C. An individual approved by the Canadian Investment Regulatory Organization (CIRO) authorized to trade or advise on securities, options and futures
- D. An organization approved by CIRO authorized to trade or advise on securities, options and futures
Correct Answer: C 🗳️
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Question #5
What is a potential risk associated with mutual fund corporations?
- A. Capital gains within the mutual fund corporation are taxed annually
- B. Market volatility impacts the value of investments in the corporation
- C. Mutual fund corporations can invest in diversified portfolios freely
- D. Switching funds within the corporation generally does not trigger taxation
Correct Answer: B 🗳️
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