- Exam Code: CIRE
- Exam Name: Canadian Investment Regulatory Exam
- Updated: Oct 10, 2026
- Q & A: 112 Questions and Answers
CIRO CIRE Exam : Canadian Investment Regulatory Exam
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CIRO CIRE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Derivatives | 5% | - Features of other derivative contract types - Prohibited derivative trading practices - Basic transactional elements of futures and options - Listed versus over-the-counter derivative markets - Basic uses of derivatives - Single and multi-legged derivative trading strategies - Features of options contract types - Administrative requirements for derivative trading with clients |
| Market and company analysis | 8% | - Company performance analysis tools - Technical and statistical analysis tools and information sources - Industry performance analysis - Effects of macroeconomic factors on financial markets - Rules relating to companies - Basic market theories and stock market behaviour - Economic indicators and sources of information - Factors influencing the macroeconomy - Basic economic theories |
| Client complaint handling and reporting | 5% | - Potential client issues, liability and consequences - Investment Dealer obligations to clients - Role of CIRO and provincial regulators in the complaints handling framework - Policies and procedures for reporting, handling and maintaining complaint records - Prohibited practices in client settlement agreements - Recourse available to dissatisfied clients - Investment Dealer complaint reporting obligations and penalties |
| Market integrity, trade execution and settlement | 12% | - Reporting obligations to firms and regulators - Specialized trading agreements for derivative accounts - Order confirmation requirements - Functions of investment banking, research and corporate finance - Order variations, cancellations and corrections - Order entry, trade management, settlement and delivery - Gatekeeping requirements for manipulative and deceptive practices, unacceptable activities and front running - Margin requirements - Features of different account types - Features of different order types - Universal Market Integrity Rules - UMIR gatekeeping obligations |
| Prospective client relationships | 10% | - Client relationship model - Investment Dealer onboarding process - Exemptions under National Instrument 45-106 - Impact of fees, turnover and taxes on investment returns - Third parties and other professionals in the client's life - Differences between retail and institutional clients - Institutional client qualification requirements - Role of cost in product selection - Client record documentation, filing and maintenance - Required account agreement and Firm Welcome package documents - Retail client information collection |
| Securities, managed products, mutual funds and other investments | 19% | - Types, features, risks and returns of fixed income securities and products - Asset classes generally sold and traded at an Investment Dealer - Considerations affecting fixed income investors - Purpose and uses of market indices - Considerations affecting exchange-traded fund investors - Types of pooled products - Considerations affecting mutual fund investors - Other investments including hedge funds, structured products, alternative investment funds, crypto assets and ESG-related products - Considerations affecting equity investors and potential shareholders - Features, risks and returns of managed products - Types, features, risks and returns of equities - Considerations affecting managed product investors |
| Conflicts of interest and ethics | 15% | - Ethical principles and standards of conduct for Approved Persons and Investment Dealers - Inappropriate or prohibited personal financial dealings with clients - Information controls, barriers, firewalls and restricted lists - Role of cybersecurity in protecting confidential information - CIRO and other ethical standards of conduct - Activities outside an Investment Dealer - Client confidentiality policies and procedures - Requirements regarding positions of influence - Ethical and legal responsibilities to clients - Importance of managing conflicts of interest - Conflicts of interest management process - Importance of ethics and its relationship to rules |
| Overview of Canadian securities regulatory framework | 10% | - Other applicable laws including confidentiality, privacy, anti-spam, company disclosure and shareholder rights - Purpose and implications of the Bank Act and Bankruptcy and Insolvency Act - Function and purpose of other investment industry regulators and agencies - Criminal Code and its application to financial crime - Function and purpose of clearing agencies - Function and purpose of investment industry marketplaces - Role and authority of the Canadian Investment Regulatory Organization - Role and authority of the Canadian Securities Administrators and provincial and territorial securities and derivatives regulators - Function and purpose of the Canadian Investor Protection Fund - Investment Dealer registration and individual approval requirements - Anti-money laundering and anti-terrorist financing legislation and regulations |
| Scope of client relationships | 15% | - Investment performance benchmarks - Know-your-product obligations - Internal escalation procedures and subject matter experts - Account appropriateness versus suitability determination - Requirements for working with clients in the United States and other foreign jurisdictions - Exemptions from suitability determination requirements - Systematic approaches to investment management and investment strategies - Institutional client sophistication assessment and suitability exemptions - Product due diligence obligations - Suitability determination requirements for retail clients - Typical services provided by institutional Investment Dealers - Role of the Investment Representative in providing client service - Typical services provided by retail Investment Dealers - Purpose and content of relationship disclosure - Trust, agency and fiduciary duty - Account appropriateness obligations - Role of the Registered Representative in providing client service |
CIRO Canadian Investment Regulatory Sample Questions:
Question #1
Which of the following implications arises from the application of the Criminal Code to financial crimes?
- A. Investment Dealers must develop anti-fraud policies to prevent criminal activities
- B. Financial institutions are required to implement mandatory risk assessments for client portfolios
- C. Canadian Investor Protection Fund (CIPF) must reimburse all clients affected by fraudulent activities committed by Investment Dealers
- D. Securities markets must be supervised by a federal agency to avoid fraudulent activities
Correct Answer: A 🗳️
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Question #2
In relation to suitability which of the following is true?
- A. There may be multiple suitable recommendations that put the client's interest first
- B. There can only be one suitable recommendation balancing client and dealer interests
- C. There can only be one suitable recommendation that puts the client's interest first
- D. There may be multiple recommendations that prioritize both client and dealer interests
Correct Answer: A 🗳️
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Question #3
A Registered Representative (RR) determines that an investment strategy is not suitable for a retail client. The client decides that they want to invest anyway. Which of the following should the RR do?
- A. Seek advice from a self-regulatory authority
- B. Report the request as an unacceptable trade
- C. Recommend an alternative action that is suitable
- D. Refuse to undertake the investment strategy
Correct Answer: C 🗳️
Question #4
Which of the following best describes the best execution rule?
- A. It requires that trades are executed on the most advantageous terms for the client
- B. It ensures that trades are executed at the best possible price and reducing commissions
- C. It mandates that trades must be executed at the price most favorable to the market participant
- D. It stipulates that all trades should be executed by the same dealer to maintain consistency
Correct Answer: A 🗳️
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Question #5
The requirement to collect know-your-client (KYC) information does not apply in which of the following scenarios?
- A. The client is opening an order execution only (OEO) account
- B. The client is based in the U.S.A
- C. The client is receiving only limited investment advice
- D. The client has more than $10m in assets
Correct Answer: A 🗳️
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