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Updated: Sep 07, 2026
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CIRO CIRE Exam Overview:
| Certification Vendor: | Canadian Investment Regulatory Organization (CIRO) |
|---|---|
| Exam Name: | Canadian Investment Regulatory Exam |
| Exam Number: | CIRE |
| Related Certifications: | Retail Securities Exam Trader Exam Chief Compliance Officer Exam Supervisor Exam Chief Financial Officer Exam Derivatives Exam Director and Executive Exam Institutional Securities Exam |
| Exam Format: | Proctored, Multiple choice, Remote online proctored, In person |
| Exam Price: | CAD 475 |
| Real Exam Qty: | 110 |
| Certificate Validity Period: | 3 years |
| Available Languages: | English, French |
| Exam Duration: | 120 minutes |
| Recommended Training: | Canadian Investment Regulatory Exam (CIRE) Official Exam Page CIRE Guide for Studying CIRE Syllabus |
| Exam Registration: | Fitch Learning CIRO Candidate Enrollment Portal CIRO Exam Hub |
| Sample Questions: | CIRO CIRE Sample Questions |
| Exam Way: | Proctored examination available remotely through online proctoring or in person at a test centre. |
| Pre Condition: | Individuals must meet the eligibility requirements set out in CIRO's Exam Enrolment and Attempts Policy. Preparatory courses are not mandatory. The exam is part of CIRO's proficiency requirements for Investment Dealer Approved Persons and potential candidates, depending on the approval category and applicable exemptions. |
| Official Syllabus URL: | https://www.ciro.ca/registered-individuals/proficiency/exam-hub/canadian-investment-regulatory-exam-cire |
CIRO CIRE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Market integrity, trade execution and settlement | 12% | - Functions of investment banking, research and corporate finance - Gatekeeping requirements for manipulative and deceptive practices, unacceptable activities and front running - Universal Market Integrity Rules - Order entry, trade management, settlement and delivery - Reporting obligations to firms and regulators - Order variations, cancellations and corrections - Specialized trading agreements for derivative accounts - Order confirmation requirements - Features of different account types - Margin requirements - UMIR gatekeeping obligations - Features of different order types |
| Topic 2: Conflicts of interest and ethics | 15% | - Ethical and legal responsibilities to clients - Activities outside an Investment Dealer - Information controls, barriers, firewalls and restricted lists - Ethical principles and standards of conduct for Approved Persons and Investment Dealers - CIRO and other ethical standards of conduct - Client confidentiality policies and procedures - Inappropriate or prohibited personal financial dealings with clients - Importance of ethics and its relationship to rules - Requirements regarding positions of influence - Conflicts of interest management process - Role of cybersecurity in protecting confidential information - Importance of managing conflicts of interest |
| Topic 3: Client complaint handling and reporting | 5% | - Recourse available to dissatisfied clients - Policies and procedures for reporting, handling and maintaining complaint records - Investment Dealer complaint reporting obligations and penalties - Investment Dealer obligations to clients - Prohibited practices in client settlement agreements - Role of CIRO and provincial regulators in the complaints handling framework - Potential client issues, liability and consequences |
| Topic 4: Scope of client relationships | 15% | - Purpose and content of relationship disclosure - Trust, agency and fiduciary duty - Know-your-product obligations - Systematic approaches to investment management and investment strategies - Internal escalation procedures and subject matter experts - Role of the Registered Representative in providing client service - Product due diligence obligations - Exemptions from suitability determination requirements - Institutional client sophistication assessment and suitability exemptions - Suitability determination requirements for retail clients - Account appropriateness versus suitability determination - Investment performance benchmarks - Role of the Investment Representative in providing client service - Typical services provided by retail Investment Dealers - Requirements for working with clients in the United States and other foreign jurisdictions - Account appropriateness obligations - Typical services provided by institutional Investment Dealers |
| Topic 5: Prospective client relationships | 10% | - Client record documentation, filing and maintenance - Required account agreement and Firm Welcome package documents - Institutional client qualification requirements - Client relationship model - Differences between retail and institutional clients - Third parties and other professionals in the client's life - Impact of fees, turnover and taxes on investment returns - Exemptions under National Instrument 45-106 - Role of cost in product selection - Retail client information collection - Investment Dealer onboarding process |
| Topic 6: Derivatives | 5% | - Single and multi-legged derivative trading strategies - Basic uses of derivatives - Listed versus over-the-counter derivative markets - Administrative requirements for derivative trading with clients - Features of options contract types - Features of other derivative contract types - Prohibited derivative trading practices - Basic transactional elements of futures and options |
| Topic 7: 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 - Other investments including hedge funds, structured products, alternative investment funds, crypto assets and ESG-related products - Considerations affecting mutual fund investors - Considerations affecting managed product investors - Considerations affecting fixed income investors - Types, features, risks and returns of equities - Features, risks and returns of managed products - Considerations affecting equity investors and potential shareholders - Purpose and uses of market indices - Considerations affecting exchange-traded fund investors - Types of pooled products |
| Topic 8: Overview of Canadian securities regulatory framework | 10% | - Role and authority of the Canadian Securities Administrators and provincial and territorial securities and derivatives regulators - Investment Dealer registration and individual approval requirements - Anti-money laundering and anti-terrorist financing legislation and regulations - Criminal Code and its application to financial crime - Function and purpose of the Canadian Investor Protection Fund - Role and authority of the Canadian Investment Regulatory Organization - Function and purpose of investment industry marketplaces - Purpose and implications of the Bank Act and Bankruptcy and Insolvency Act - Function and purpose of other investment industry regulators and agencies - Function and purpose of clearing agencies - Other applicable laws including confidentiality, privacy, anti-spam, company disclosure and shareholder rights |
| Topic 9: Market and company analysis | 8% | - Effects of macroeconomic factors on financial markets - Basic economic theories - Company performance analysis tools - Technical and statistical analysis tools and information sources - Factors influencing the macroeconomy - Basic market theories and stock market behaviour - Rules relating to companies - Industry performance analysis - Economic indicators and sources of information |
CIRO Canadian Investment Regulatory Sample Questions:
Question 1
An Investment Dealer is helping a new client open a derivatives trading account. During the application process, what information about the client must the dealer obtain to meet regulatory requirements in Canada?
A. A signed acknowledgment of the dealer's trading policies and procedures
B. The client's employment information and financial background to assess product suitability
C. The client's understanding of derivatives and previous trading experience
D. The client's financial goals and past trading account performance
Question 2
When must an Investment Dealer consult with a client's trusted contact person?
A. If the client fails to provide the required know-your-client (KYC) information
B. To share the client's account performance details with an objective person
C. The Investment Dealer disagrees with a client's investment decision
D. If there are concerns about the client's financial exploitation or mental capacity
Question 3
What is a futures contract?
A. A financial contract that allows the buyer to borrow funds to purchase an investment asset
B. A contract that obligates the buyer to buy an asset at a specified price on a specified future date
C. A contract granting the buyer the right but not obligation to buy an asset at a specified future price
D. A financial contract that allows the buyer to buy an asset at any time before the expiration date
Question 4
An Approved Person at an Investment Dealer has just helped a technology company go public. They also provided strategic advice on structuring the deal and pricing the shares. What is their primary role in this situation?
A. Helping the company monitor stock price fluctuations
B. Managing the company's portfolio of investments
C. Assisting the company in raising capital through the sale of securities
D. Advising the company on tax strategies for their new capital
Question 5
Which of the following is an expected impact of high portfolio turnover on investment returns?
A. It decreases the tax burden, which increases returns
B. It increases transaction costs, which reduce returns
C. It decreases the overall total risk of the portfolio
D. It guarantees higher investment returns for the client
Solutions:
| Question 1 Answer: C | Question 2 Answer: D | Question 3 Answer: B | Question 4 Answer: C | Question 5 Answer: B |
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