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Last Updated: Sep 15, 2026
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CIRO CIRE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Scope of client relationships | 15% | - Role of the Registered Representative in providing client service - Role of the Investment Representative in providing client service - Typical services provided by retail Investment Dealers - Systematic approaches to investment management and investment strategies - Institutional client sophistication assessment and suitability exemptions - Suitability determination requirements for retail clients - Typical services provided by institutional Investment Dealers - Trust, agency and fiduciary duty - Account appropriateness versus suitability determination - Exemptions from suitability determination requirements - Account appropriateness obligations - Internal escalation procedures and subject matter experts - Investment performance benchmarks - Product due diligence obligations - Know-your-product obligations - Purpose and content of relationship disclosure - Requirements for working with clients in the United States and other foreign jurisdictions |
| Market integrity, trade execution and settlement | 12% | - Features of different order types - Functions of investment banking, research and corporate finance - Reporting obligations to firms and regulators - Order entry, trade management, settlement and delivery - Order confirmation requirements - UMIR gatekeeping obligations - Gatekeeping requirements for manipulative and deceptive practices, unacceptable activities and front running - Universal Market Integrity Rules - Order variations, cancellations and corrections - Features of different account types - Margin requirements - Specialized trading agreements for derivative accounts |
| Conflicts of interest and ethics | 15% | - Conflicts of interest management process - Importance of ethics and its relationship to rules - Ethical and legal responsibilities to clients - Activities outside an Investment Dealer - CIRO and other ethical standards of conduct - Importance of managing conflicts of interest - Role of cybersecurity in protecting confidential information - Requirements regarding positions of influence - Client confidentiality policies and procedures - Information controls, barriers, firewalls and restricted lists - Ethical principles and standards of conduct for Approved Persons and Investment Dealers - Inappropriate or prohibited personal financial dealings with clients |
| Derivatives | 5% | - Features of options contract types - Prohibited derivative trading practices - Single and multi-legged derivative trading strategies - Features of other derivative contract types - Basic uses of derivatives - Basic transactional elements of futures and options - Administrative requirements for derivative trading with clients - Listed versus over-the-counter derivative markets |
| Prospective client relationships | 10% | - Exemptions under National Instrument 45-106 - Investment Dealer onboarding process - Client relationship model - Required account agreement and Firm Welcome package documents - Impact of fees, turnover and taxes on investment returns - Third parties and other professionals in the client's life - Client record documentation, filing and maintenance - Role of cost in product selection - Retail client information collection - Institutional client qualification requirements - Differences between retail and institutional clients |
| Securities, managed products, mutual funds and other investments | 19% | - Considerations affecting equity investors and potential shareholders - Types, features, risks and returns of equities - Types, features, risks and returns of fixed income securities and products - Considerations affecting fixed income investors - Purpose and uses of market indices - Considerations affecting mutual fund investors - Considerations affecting managed product investors - Features, risks and returns of managed products - Types of pooled products - Considerations affecting exchange-traded fund investors - Other investments including hedge funds, structured products, alternative investment funds, crypto assets and ESG-related products - Asset classes generally sold and traded at an Investment Dealer |
| Overview of Canadian securities regulatory framework | 10% | - Criminal Code and its application to financial crime - Function and purpose of clearing agencies - Other applicable laws including confidentiality, privacy, anti-spam, company disclosure and shareholder rights - Function and purpose of the Canadian Investor Protection Fund - Purpose and implications of the Bank Act and Bankruptcy and Insolvency Act - Function and purpose of other investment industry regulators and agencies - Investment Dealer registration and individual approval requirements - Anti-money laundering and anti-terrorist financing legislation and regulations - Role and authority of the Canadian Securities Administrators and provincial and territorial securities and derivatives regulators - Function and purpose of investment industry marketplaces - Role and authority of the Canadian Investment Regulatory Organization |
| Client complaint handling and reporting | 5% | - Prohibited practices in client settlement agreements - Investment Dealer complaint reporting obligations and penalties - Policies and procedures for reporting, handling and maintaining complaint records - Investment Dealer obligations to clients - Potential client issues, liability and consequences - Recourse available to dissatisfied clients - Role of CIRO and provincial regulators in the complaints handling framework |
| Market and company analysis | 8% | - Company performance analysis tools - Industry performance analysis - Rules relating to companies - Factors influencing the macroeconomy - Basic market theories and stock market behaviour - Basic economic theories - Effects of macroeconomic factors on financial markets - Economic indicators and sources of information - Technical and statistical analysis tools and information sources |
CIRO Canadian Investment Regulatory Sample Questions:
What is the primary use of commodities like soybeans, crude oil, and copper?
- A. They are used for investment and speculative purposes
- B. They are used to protect against fluctuating prices
- C. They are used to profit from fluctuating prices
- D. They are used for consumption and industrial purposes
Correct Answer: D 🗳️
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Which of the following is an expected impact of high portfolio turnover on investment returns?
- A. It increases transaction costs, which reduce returns
- B. It guarantees higher investment returns for the client
- C. It decreases the overall total risk of the portfolio
- D. It decreases the tax burden, which increases returns
Correct Answer: A 🗳️
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Which of the following factors must an Investment Dealer address when executing all client orders?
- A. The resulting price of the security after the order is placed
- B. The speed at which the order execution is reported to the client
- C. The certainty of the execution of the client order
- D. The cost of execution to the Investment Dealer
Correct Answer: C 🗳️
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An investment firm has a differential commission structure which rewards particular types of accounts.
What must an advisor do when recommending new accounts to clients?
- A. Automatically recommend the account type with the lowest fees to avoid any perceived bias
- B. Avoid recommending the accounts that reward higher commissions to prevent conflicts of interest
- C. Recommend the account type that offers the advisor the highest commission to maximize personal earnings
- D. Disclose the differential commission structure and ensure that the recommendation is in the client's best interest
Correct Answer: D 🗳️
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What type of trading involves the use of algorithms to execute orders?
- A. Manual stock selection based on fundamental and technical analysis
- B. Broker-executed trades based on dealer recommendations
- C. Trading strategies that are driven by market behaviours
- D. Automated trading using mathematical models
Correct Answer: D 🗳️
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