CIRO CIRE : 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: Scope of client relationships	15%	- Retail Investment Dealer services - Clients residing in the United States and other foreign jurisdictions - Relationship disclosure - Product due diligence - Escalation to subject matter experts - Trust, agency and fiduciary duty - Client suitability determination - Investment performance benchmarks - Investment Representative role and client service - Investment management styles and strategies - Account appropriateness versus suitability - Institutional Investment Dealer services - Registered Representative role and client service - Know-your-product requirements - Institutional client sophistication and suitability exemptions - Suitability exemptions - Account appropriateness
Topic 2: Securities, managed products, mutual funds and other investments	19%	- Managed products - Market indices - Fixed income investment considerations - Mutual funds - Equities - Fixed income securities and products - Other investments - Equity investment considerations - Exchange-traded funds - Pooled products - Managed product investment considerations - Asset classes
Topic 3: Market integrity, trade execution and settlement	12%	- Order variations, cancellations and corrections - Order confirmation requirements - Derivative trading agreements - Gatekeeping for manipulative and deceptive practices - Order entry, trade processing, settlement and delivery - Order types - Universal Market Integrity Rules - Margin requirements - Investment banking, research and corporate finance - Reporting obligations - Account types - UMIR gatekeeping obligations
Topic 4: Client complaint handling and reporting	5%	- Settlement agreements with clients - Investment Dealer obligations to clients - Investment Dealer complaint reporting obligations - Client recourse options - CIRO and provincial regulator roles in complaint handling - Complaint policies, procedures and recordkeeping - Client issues and potential liability
Topic 5: Market and company analysis	8%	- Basic economic theories - Technical and statistical analysis tools - Company regulation, disclosure and investor rights - Macroeconomic factors and policies - Macroeconomic effects on financial markets - Company performance analysis - Market theories and stock market behaviour - Economic information and indicators - Industry performance analysis
Topic 6: Conflicts of interest and ethics	15%	- Ethical and legal responsibilities to clients - Outside activities of Approved Persons - Cybersecurity and confidential information - Ethics and regulatory rules - CIRO and other ethical standards - Personal financial dealings with clients - Information barriers and restricted lists - Client confidentiality - Ethical principles and standards of conduct - Conflict identification, avoidance, addressing and disclosure - Positions of influence - Managing conflicts of interest
Topic 7: Prospective client relationships	10%	- Investment Dealer onboarding process - Client recordkeeping - Third parties and professional advisers - Retail and institutional clients - Account agreements and welcome documentation - Costs, fees, turnover and taxes - Client relationship model - Accredited investors and exemptions - Institutional client qualification - Retail client information and risk profile
Topic 8: Derivatives	5%	- Transactional elements of futures and options - Options - Uses of derivatives - Derivative trading strategies - Prohibited derivative trading practices - Listed and over-the-counter derivatives markets - Derivative account administration - Futures, forwards, swaps and contracts for difference
Topic 9: Overview of Canadian securities regulatory framework	10%	- Marketplaces and trading venues - Other investment industry regulators and agencies - Criminal Code and financial crime - Confidentiality, privacy, anti-spam and shareholder rights legislation - Role and authority of the Canadian Investment Regulatory Organization - Anti-money laundering requirements - Investment Dealer registration and individual approval requirements - Bank Act and Bankruptcy and Insolvency Act - Clearing agencies - Canadian Investor Protection Fund - Role and authority of the Canadian Securities Administrators and provincial/territorial securities and derivatives regulators

CIRO Canadian Investment Regulatory Sample Questions:

Question #1

An investor is considering mutual funds but has concerns about potential drawbacks. What is one significant disadvantage of investing in mutual funds?

A. Liquidity allowing easy buying and selling
B. Professional management of the fund
C. Fees and expenses reducing overall returns
D. High diversification in the portfolio

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Correct Answer: C 🗳️

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Question #2

What role do margin requirements play in managing risk for both short and long positions?

A. They are not enforced for accounts where trades are executed at the dealer's discretion
B. They require clients to maintain sufficient funds to cover losses in both short and long positions
C. They apply exclusively to short positions, with no impact on long positions
D. They increase the amount of capital needed but do not reduce the leverage available

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Correct Answer: B 🗳️

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Question #3

Which of the following accurately describes a key characteristic of mutual fund trusts?

A. They issue shares that can be traded on the stock exchange, similar to stocks
B. They invest in a diversified portfolio of assets and pass on income to unitholders
C. They are subject to a flat tax rate, regardless of the income they generate
D. They are restricted to investing in government bonds and cannot hold equity investments

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Correct Answer: B 🗳️

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Question #4

Retail Investment Dealers may offer a range of accounts to clients. Which of the following best reflects that range?

A. Advisory; Discretionary; Order execution only (OEO)
B. Advisory; Managed; Discretionary
C. Advisory; Discretionary; Managed, Order execution only (OEO) and Direct Electronic Access (DEA)
D. Advisory; Discretionary; Managed and Order execution only (OEO)

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Correct Answer: D 🗳️

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Question #5

Which of the following is an expected impact of high portfolio turnover on investment returns?