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Updated: Oct 09, 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 |
| Exam Duration: | 120 minutes |
| Real Exam Qty: | 110 |
| Related Certifications: | Chief Compliance Officer Exam Director and Executive Exam Supervisor Exam Chief Financial Officer Exam Institutional Securities Exam Retail Securities Exam Derivatives Exam Trader Exam |
| Available Languages: | French, English |
| Exam Format: | In person, Remote online proctored, Multiple choice, Proctored |
| Exam Price: | CAD 475 |
| Certificate Validity Period: | 3 years |
| 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 |
|---|---|---|
| Market integrity, trade execution and settlement | 12% | - Margin requirements - Order confirmation requirements - Universal Market Integrity Rules - Order variations, cancellations and corrections - Features of different order types - Functions of investment banking, research and corporate finance - Specialized trading agreements for derivative accounts - UMIR gatekeeping obligations - Reporting obligations to firms and regulators - Features of different account types - Order entry, trade management, settlement and delivery - Gatekeeping requirements for manipulative and deceptive practices, unacceptable activities and front running |
| Securities, managed products, mutual funds and other investments | 19% | - Types, features, risks and returns of fixed income securities and products - Purpose and uses of market indices - Types, features, risks and returns of equities - Considerations affecting fixed income investors - Other investments including hedge funds, structured products, alternative investment funds, crypto assets and ESG-related products - Considerations affecting exchange-traded fund investors - Asset classes generally sold and traded at an Investment Dealer - Types of pooled products - Features, risks and returns of managed products - Considerations affecting mutual fund investors - Considerations affecting managed product investors - Considerations affecting equity investors and potential shareholders |
| Conflicts of interest and ethics | 15% | - Importance of managing conflicts of interest - CIRO and other ethical standards of conduct - Ethical principles and standards of conduct for Approved Persons and Investment Dealers - Inappropriate or prohibited personal financial dealings with clients - Importance of ethics and its relationship to rules - Conflicts of interest management process - Information controls, barriers, firewalls and restricted lists - Role of cybersecurity in protecting confidential information - Client confidentiality policies and procedures - Activities outside an Investment Dealer - Requirements regarding positions of influence - Ethical and legal responsibilities to clients |
| Derivatives | 5% | - Administrative requirements for derivative trading with clients - 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 - Features of options contract types - Prohibited derivative trading practices - Basic uses of derivatives |
| Scope of client relationships | 15% | - Role of the Investment Representative in providing client service - Systematic approaches to investment management and investment strategies - Requirements for working with clients in the United States and other foreign jurisdictions - Know-your-product obligations - Trust, agency and fiduciary duty - Internal escalation procedures and subject matter experts - Product due diligence obligations - Account appropriateness versus suitability determination - Exemptions from suitability determination requirements - Typical services provided by retail Investment Dealers - Investment performance benchmarks - Role of the Registered Representative in providing client service - Purpose and content of relationship disclosure - Account appropriateness obligations - Suitability determination requirements for retail clients - Typical services provided by institutional Investment Dealers - Institutional client sophistication assessment and suitability exemptions |
| Overview of Canadian securities regulatory framework | 10% | - Anti-money laundering and anti-terrorist financing legislation and regulations - Function and purpose of the Canadian Investor Protection Fund - Function and purpose of investment industry marketplaces - 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 - Role and authority of the Canadian Securities Administrators and provincial and territorial securities and derivatives regulators - Investment Dealer registration and individual approval requirements - Function and purpose of clearing agencies - Criminal Code and its application to financial crime - Function and purpose of other investment industry regulators and agencies - Role and authority of the Canadian Investment Regulatory Organization |
| Client complaint handling and reporting | 5% | - Prohibited practices in client settlement agreements - Potential client issues, liability and consequences - Investment Dealer complaint reporting obligations and penalties - Recourse available to dissatisfied clients - Policies and procedures for reporting, handling and maintaining complaint records - Role of CIRO and provincial regulators in the complaints handling framework - Investment Dealer obligations to clients |
| Prospective client relationships | 10% | - Client record documentation, filing and maintenance - Institutional client qualification requirements - Client relationship model - Third parties and other professionals in the client's life - Exemptions under National Instrument 45-106 - Retail client information collection - Differences between retail and institutional clients - Investment Dealer onboarding process - Impact of fees, turnover and taxes on investment returns - Required account agreement and Firm Welcome package documents - Role of cost in product selection |
| Market and company analysis | 8% | - Technical and statistical analysis tools and information sources - Basic market theories and stock market behaviour - Economic indicators and sources of information - Basic economic theories - Factors influencing the macroeconomy - Rules relating to companies - Company performance analysis tools - Effects of macroeconomic factors on financial markets - Industry performance analysis |
CIRO Canadian Investment Regulatory Sample Questions:
A client has an account with their Investment Dealer. The dealer acts as principal in a trade for them at a price that is not as good as the prevailing market price. How would this trade be considered?
- A. An example of best execution, as the principal trade ensures that client has a reliable deal
- B. A violation of the best execution rule, as the trade was not executed on most favorable terms
- C. A case of market manipulation, as the Investment Dealer intentionally influenced the market price
- D. A violation of the margin rules, as the client did not have sufficient funds to cover the trade
Correct Answer: B 🗳️
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Which of the following statements best describes the benefit of holding a cumulative preferred share?
- A. It accumulates interest on missed dividends until they are paid
- B. It allows companies to accumulate redemption rights over a set time
- C. It allows unpaid dividends to accumulate and be paid with priority
- D. It accumulates voting rights regardless of dividend payment status
Correct Answer: C 🗳️
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When assessing client suitability, what is the difference between risk tolerance and risk capacity?
- A. Risk tolerance is the client's preferred risk level. Risk capacity is the willingness to accept risk
- B. Risk tolerance is the willingness to accept risk. Risk capacity is the ability to endure financial loss
- C. Risk tolerance is the ability to endure financial loss. Risk capacity is willingness to accept risk
- D. Risk tolerance is the ability to endure financial loss. Risk capacity is the client's preferred risk level
Correct Answer: B 🗳️
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Which of the following reflects the CIRO standards of conduct in relation to client interaction?
- A. An unreasonable departure from the standards expected of a Regulated Person is acceptable in isolated situations
- B. Emphasize the positive aspects of an investment opportunity to maintain the client's confidence in the integrity of the markets
- C. Disclosure of complex investment risks can be withheld if to disclose could be detrimental to the firm's interests
- D. Regulated Persons must be open and fair in the disclosure to clients of any price sensitive information
Correct Answer: D 🗳️
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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)
Correct Answer: D 🗳️
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