Exam Name: Canadian Investment Regulatory Exam
Certification Provider: CIRO
Corresponding Certification: Canadian Investment Regulatory
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Updated: Aug 26, 2026
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CIRO CIRE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Market and company analysis | 8% | - Economic indicators and sources of information - Technical and statistical analysis tools and information sources - Industry performance analysis - Effects of macroeconomic factors on financial markets - Company performance analysis tools - Rules relating to companies - Basic market theories and stock market behaviour - Factors influencing the macroeconomy - Basic economic theories |
| Securities, managed products, mutual funds and other investments | 19% | - Considerations affecting managed product investors - Types of pooled products - Asset classes generally sold and traded at an Investment Dealer - Considerations affecting equity investors and potential shareholders - Purpose and uses of market indices - Considerations affecting fixed income investors - Other investments including hedge funds, structured products, alternative investment funds, crypto assets and ESG-related products - Features, risks and returns of managed products - Considerations affecting mutual fund investors - Types, features, risks and returns of equities - Considerations affecting exchange-traded fund investors - Types, features, risks and returns of fixed income securities and products |
| Client complaint handling and reporting | 5% | - Recourse available to dissatisfied clients - Investment Dealer obligations to clients - Prohibited practices in client settlement agreements - Potential client issues, liability and consequences - Policies and procedures for reporting, handling and maintaining complaint records - Investment Dealer complaint reporting obligations and penalties - Role of CIRO and provincial regulators in the complaints handling framework |
| Derivatives | 5% | - Features of other derivative contract types - Administrative requirements for derivative trading with clients - Basic transactional elements of futures and options - Listed versus over-the-counter derivative markets - Features of options contract types - Prohibited derivative trading practices - Basic uses of derivatives - Single and multi-legged derivative trading strategies |
| Market integrity, trade execution and settlement | 12% | - Functions of investment banking, research and corporate finance - Margin requirements - Order entry, trade management, settlement and delivery - UMIR gatekeeping obligations - Order variations, cancellations and corrections - Universal Market Integrity Rules - Features of different order types - Order confirmation requirements - Gatekeeping requirements for manipulative and deceptive practices, unacceptable activities and front running - Features of different account types - Specialized trading agreements for derivative accounts - Reporting obligations to firms and regulators |
| Overview of Canadian securities regulatory framework | 10% | - 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 - Function and purpose of other investment industry regulators and agencies - Criminal Code and its application to financial crime - Anti-money laundering and anti-terrorist financing legislation and regulations - Role and authority of the Canadian Investment Regulatory Organization - Investment Dealer registration and individual approval requirements - 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 |
| Prospective client relationships | 10% | - Third parties and other professionals in the client's life - Client relationship model - Retail client information collection - Role of cost in product selection - Client record documentation, filing and maintenance - Investment Dealer onboarding process - Required account agreement and Firm Welcome package documents - Impact of fees, turnover and taxes on investment returns - Differences between retail and institutional clients - Exemptions under National Instrument 45-106 - Institutional client qualification requirements |
| Conflicts of interest and ethics | 15% | - Requirements regarding positions of influence - Activities outside an Investment Dealer - Conflicts of interest management process - Role of cybersecurity in protecting confidential information - Ethical and legal responsibilities to clients - Importance of ethics and its relationship to rules - CIRO and other ethical standards of conduct - Importance of managing conflicts of interest - Inappropriate or prohibited personal financial dealings with clients - Client confidentiality policies and procedures - Ethical principles and standards of conduct for Approved Persons and Investment Dealers - Information controls, barriers, firewalls and restricted lists |
| Scope of client relationships | 15% | - Suitability determination requirements for retail clients - Know-your-product obligations - Typical services provided by retail Investment Dealers - Exemptions from suitability determination requirements - Product due diligence obligations - Requirements for working with clients in the United States and other foreign jurisdictions - Purpose and content of relationship disclosure - Account appropriateness versus suitability determination - Typical services provided by institutional Investment Dealers - Internal escalation procedures and subject matter experts - Role of the Investment Representative in providing client service - Institutional client sophistication assessment and suitability exemptions - Investment performance benchmarks - Role of the Registered Representative in providing client service - Account appropriateness obligations - Trust, agency and fiduciary duty - Systematic approaches to investment management and investment strategies |
CIRO Canadian Investment Regulatory Sample Questions:
1. Which is the best definition of a Registered Representative (RR)?
A) An individual approved by the Canadian Investment Regulatory Organization (CIRO) authorized to trade or advise on securities, options and futures
B) An individual approved by CIRO authorized to trade or advise on securities, options and futures
C) An organization approved by CIRO authorized to trade or advise on securities, options and futures
D) An individual approved by CIRO to trade but not advise on securities, options and futures contracts
2. What must an Approved Person understand about securities to comply with know-your-product (KYP) obligations?
A) The securities' intended use by the client
B) The securities' structure, features, and risks
C) The market demand and media coverage
D) Alternative securities that may be suitable
3. An investment analyst is explaining the characteristics of principal-protected notes (PPNs) to a client.
Which of the following is a key feature of a PPN?
A) It offers no protection against the principal investment
B) It provides guaranteed returns above the market average
C) It guarantees the return of the initial investment at maturity
D) It involves a high level of risk, similar to equity investments
4. An investment firm discovers a minor clerical error that caused a discrepancy in client transaction records. What is the most appropriate action under Investment Dealer and Partially Consolidated (IDPC) rules?
A) Report the issue to the federal anti-money laundering agency and restrict accounts
B) Correct the error immediately and notify the client of the change
C) Document the discrepancy for internal audit and address it during review
D) Correct the error and report the discrepancy to the Canadian Securities Administrators (CSA)
5. An investor is considering investing in a private equity fund. Which of the following features is most commonly associated with private equity funds?
A) They involve actively managing and improving the performance of portfolio companies before exiting
B) They are usually structured like mutual funds and offer daily trading opportunities, providing high liquidity to investors
C) They typically invest in publicly traded stocks and rely on market liquidity to generate returns
D) They offer immediate returns with minimal risk, providing quick liquidity similar to publicly traded securities
Solutions:
| Question # 1 Answer: A | Question # 2 Answer: B | Question # 3 Answer: C | Question # 4 Answer: B | Question # 5 Answer: A |
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