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Updated: Oct 10, 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 |
| Real Exam Qty: | 110 |
| Related Certifications: | Trader Exam Chief Compliance Officer Exam Director and Executive Exam Institutional Securities Exam Derivatives Exam Retail Securities Exam Supervisor Exam Chief Financial Officer Exam |
| Exam Format: | Proctored, Multiple choice, Remote online proctored, In person |
| Available Languages: | French, English |
| Certificate Validity Period: | 3 years |
| Exam Price: | CAD 475 |
| Exam Duration: | 120 minutes |
| Recommended Training: | CIRE Syllabus CIRE Guide for Studying Canadian Investment Regulatory Exam (CIRE) Official Exam Page |
| Exam Registration: | CIRO Exam Hub Fitch Learning CIRO Candidate Enrollment Portal |
| 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: Client complaint handling and reporting | 5% | - Role of CIRO and provincial regulators in the complaints handling framework - Policies and procedures for reporting, handling and maintaining complaint records - Investment Dealer obligations to clients - Investment Dealer complaint reporting obligations and penalties - Recourse available to dissatisfied clients - Prohibited practices in client settlement agreements - Potential client issues, liability and consequences |
| Topic 2: Prospective client relationships | 10% | - Required account agreement and Firm Welcome package documents - Institutional client qualification requirements - Investment Dealer onboarding process - Client relationship model - Exemptions under National Instrument 45-106 - Impact of fees, turnover and taxes on investment returns - Client record documentation, filing and maintenance - Differences between retail and institutional clients - Role of cost in product selection - Retail client information collection - Third parties and other professionals in the client's life |
| Topic 3: Derivatives | 5% | - Features of options contract types - Basic uses of derivatives - Basic transactional elements of futures and options - Listed versus over-the-counter derivative markets - Features of other derivative contract types - Single and multi-legged derivative trading strategies - Administrative requirements for derivative trading with clients - Prohibited derivative trading practices |
| Topic 4: Conflicts of interest and ethics | 15% | - Importance of managing conflicts of interest - Conflicts of interest management process - Activities outside an Investment Dealer - Client confidentiality policies and procedures - CIRO and other ethical standards of conduct - Ethical and legal responsibilities to clients - Inappropriate or prohibited personal financial dealings with clients - Requirements regarding positions of influence - Information controls, barriers, firewalls and restricted lists - Role of cybersecurity in protecting confidential information - Importance of ethics and its relationship to rules - Ethical principles and standards of conduct for Approved Persons and Investment Dealers |
| Topic 5: Overview of Canadian securities regulatory framework | 10% | - Role and authority of the Canadian Investment Regulatory Organization - Function and purpose of the Canadian Investor Protection Fund - Criminal Code and its application to financial crime - Function and purpose of investment industry marketplaces - Role and authority of the Canadian Securities Administrators and provincial and territorial securities and derivatives regulators - Anti-money laundering and anti-terrorist financing legislation and regulations - Function and purpose of other investment industry regulators and agencies - Purpose and implications of the Bank Act and Bankruptcy and Insolvency Act - Other applicable laws including confidentiality, privacy, anti-spam, company disclosure and shareholder rights - Investment Dealer registration and individual approval requirements - Function and purpose of clearing agencies |
| Topic 6: Market and company analysis | 8% | - Basic market theories and stock market behaviour - Effects of macroeconomic factors on financial markets - Rules relating to companies - Basic economic theories - Technical and statistical analysis tools and information sources - Company performance analysis tools - Economic indicators and sources of information - Factors influencing the macroeconomy - Industry performance analysis |
| Topic 7: Scope of client relationships | 15% | - Exemptions from suitability determination requirements - Suitability determination requirements for retail clients - Account appropriateness obligations - Know-your-product obligations - Requirements for working with clients in the United States and other foreign jurisdictions - Role of the Investment Representative in providing client service - Typical services provided by institutional Investment Dealers - Typical services provided by retail Investment Dealers - Trust, agency and fiduciary duty - Systematic approaches to investment management and investment strategies - Purpose and content of relationship disclosure - Account appropriateness versus suitability determination - Role of the Registered Representative in providing client service - Investment performance benchmarks - Internal escalation procedures and subject matter experts - Institutional client sophistication assessment and suitability exemptions - Product due diligence obligations |
| Topic 8: Securities, managed products, mutual funds and other investments | 19% | - Types of pooled products - 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 - Asset classes generally sold and traded at an Investment Dealer - Considerations affecting exchange-traded fund investors - Considerations affecting mutual fund investors - Considerations affecting managed product investors - Types, features, risks and returns of equities - Considerations affecting equity investors and potential shareholders - Features, risks and returns of managed products - Purpose and uses of market indices - Considerations affecting fixed income investors |
| Topic 9: Market integrity, trade execution and settlement | 12% | - Reporting obligations to firms and regulators - Features of different order types - Specialized trading agreements for derivative accounts - Features of different account types - Order variations, cancellations and corrections - Universal Market Integrity Rules - Order confirmation requirements - Functions of investment banking, research and corporate finance - Order entry, trade management, settlement and delivery - Gatekeeping requirements for manipulative and deceptive practices, unacceptable activities and front running - UMIR gatekeeping obligations - Margin requirements |
CIRO Canadian Investment Regulatory Sample Questions:
A risk-averse investor is considering investing in preferred shares. What is one key feature of preferred shares that may appeal to such investors?
- A. Preferred shares typically pay fixed dividends and provide significant voting rights to shareholders
- B. Preferred shares guarantee the highest potential for capital gains among all equity investments
- C. Preferred shares provide fixed dividends and have a priority claim on company assets over common shares
- D. Preferred shares offer no risk of dividend suspension under any market conditions
Correct Answer: C 🗳️
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What is the purpose of the Canadian Anti-Spam Legislation (CASL)?
- A. To regulate the use of electronic signatures
- B. To oversee securities-related email marketing campaigns
- C. To ensure compliance with privacy law in email communications
- D. To block unsolicited commercial messages without consent
Correct Answer: D 🗳️
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Which method is typically used to calculate the value of most equity indices?
- A. Using a weighted average based on the market capitalization of each company
- B. Using the median stock price of the included companies for index calculation
- C. Adding stock prices of included companies divided by total number of companies
- D. Adding dividend yields of included companies divided by total number of companies
Correct Answer: A 🗳️
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Which of the following reflects the CIRO standards of conduct in relation to client interaction?
- A. Emphasize the positive aspects of an investment opportunity to maintain the client's confidence in the integrity of the markets
- B. Regulated Persons must be open and fair in the disclosure to clients of any price sensitive information
- C. An unreasonable departure from the standards expected of a Regulated Person is acceptable in isolated situations
- D. Disclosure of complex investment risks can be withheld if to disclose could be detrimental to the firm's interests
Correct Answer: B 🗳️
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Which of the following implications arises from the application of the Criminal Code to financial crimes?
- A. Financial institutions are required to implement mandatory risk assessments for client portfolios
- B. Securities markets must be supervised by a federal agency to avoid fraudulent activities
- C. Investment Dealers must develop anti-fraud policies to prevent criminal activities
- D. Canadian Investor Protection Fund (CIPF) must reimburse all clients affected by fraudulent activities committed by Investment Dealers
Correct Answer: C 🗳️
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