CIRO CIRE exam : Canadian Investment Regulatory Exam

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

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CIRO CIRE Exam Syllabus Topics:

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

CIRO Canadian Investment Regulatory Sample Questions:

Question #1

A trader wants to apply a bearish strategy using options to profit from an expected decline in the price of a commodity. What is the most suitable approach?

A. A long future position
B. Sell a put option
C. Purchase a call option
D. Purchase a put option

Reveal Solution Discussion 0

Correct Answer: D 🗳️