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Last Updated: Aug 28, 2026
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CIRO CIRE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Prospective client relationships | 10% | - Investment Dealer onboarding process - Institutional client qualification - Retail and institutional clients - Accredited investors and exemptions - Client recordkeeping - Costs, fees, turnover and taxes - Third parties and professional advisers - Retail client information and risk profile - Client relationship model - Account agreements and welcome documentation |
| Securities, managed products, mutual funds and other investments | 19% | - Fixed income securities and products - Pooled products - Mutual funds - Managed product investment considerations - Equity investment considerations - Fixed income investment considerations - Exchange-traded funds - Equities - Market indices - Managed products - Other investments - Asset classes |
| Overview of Canadian securities regulatory framework | 10% | - Confidentiality, privacy, anti-spam and shareholder rights legislation - Role and authority of the Canadian Investment Regulatory Organization - Other investment industry regulators and agencies - Criminal Code and financial crime - Marketplaces and trading venues - Investment Dealer registration and individual approval requirements - Role and authority of the Canadian Securities Administrators and provincial/territorial securities and derivatives regulators - Anti-money laundering requirements - Clearing agencies - Canadian Investor Protection Fund - Bank Act and Bankruptcy and Insolvency Act |
| Conflicts of interest and ethics | 15% | - Client confidentiality - Ethics and regulatory rules - Outside activities of Approved Persons - Managing conflicts of interest - Ethical and legal responsibilities to clients - Information barriers and restricted lists - Positions of influence - Conflict identification, avoidance, addressing and disclosure - Ethical principles and standards of conduct - Cybersecurity and confidential information - CIRO and other ethical standards - Personal financial dealings with clients |
| Market and company analysis | 8% | - Macroeconomic effects on financial markets - Company regulation, disclosure and investor rights - Industry performance analysis - Macroeconomic factors and policies - Market theories and stock market behaviour - Company performance analysis - Technical and statistical analysis tools - Basic economic theories - Economic information and indicators |
| Scope of client relationships | 15% | - Investment performance benchmarks - Product due diligence - Escalation to subject matter experts - Account appropriateness - Relationship disclosure - Institutional client sophistication and suitability exemptions - Account appropriateness versus suitability - Suitability exemptions - Investment management styles and strategies - Trust, agency and fiduciary duty - Retail Investment Dealer services - Registered Representative role and client service - Clients residing in the United States and other foreign jurisdictions - Investment Representative role and client service - Client suitability determination - Institutional Investment Dealer services - Know-your-product requirements |
| Derivatives | 5% | - Derivative account administration - Transactional elements of futures and options - Uses of derivatives - Derivative trading strategies - Listed and over-the-counter derivatives markets - Options - Prohibited derivative trading practices - Futures, forwards, swaps and contracts for difference |
| Market integrity, trade execution and settlement | 12% | - Account types - Gatekeeping for manipulative and deceptive practices - Universal Market Integrity Rules - Reporting obligations - Derivative trading agreements - Margin requirements - Order confirmation requirements - Investment banking, research and corporate finance - Order entry, trade processing, settlement and delivery - Order types - Order variations, cancellations and corrections - UMIR gatekeeping obligations |
| Client complaint handling and reporting | 5% | - Settlement agreements with clients - CIRO and provincial regulator roles in complaint handling - Complaint policies, procedures and recordkeeping - Investment Dealer complaint reporting obligations - Investment Dealer obligations to clients - Client issues and potential liability - Client recourse options |
CIRO Canadian Investment Regulatory Sample Questions:
1. An investment advisor is considering recommending a pooled fund to a client. Which of the following is a characteristic of pooled funds?
A) The fund typically charges a flat fee regardless of the client's contribution size
B) The client owns individual securities within the pool
C) The client has full control over individual security selection within the fund
D) The fund pools money from multiple investors to invest in a diversified portfolio
2. Which of the following best defines the main objective of fundamental analysis in relation to stock market behavior?
A) To evaluate a company's financial health and intrinsic value
B) To predict short-term price movements based on market sentiment
C) To analyze historical stock prices to forecast future trends
D) To identify stock price movements based on technical chart patterns
3. What is the primary function of investment banking within the financial markets?
A) Monitoring ongoing compliance of market participants with regulatory rules
B) Assisting companies raise capital, facilitating mergers and acquisitions
C) Managing the personal investment portfolios for high-net-worth clients
D) Conducting day-to-day securities trades for retail and institutional clients
4. How does the Relative Strength Index (RSI) help investors assess market conditions?
A) It evaluates the price-to-earnings (P/E) ratio of a stock to determine its market value
B) It indicates whether a stock is overbought or oversold, signaling possible trend reversals
C) It analyzes the company's quarterly earnings to forecast future stock prices
D) It measures the volatility of a stock by comparing its high and low prices
5. Why might a company choose to issue preferred shares instead of debt?
A) Preferred shares do not create legal obligations to make interest or principal payments
B) Preferred shares are less expensive than debt due to their fixed dividend obligations
C) Preferred shares provide shareholders with voting rights and a maturity date
D) Preferred shares offer tax-deductible dividend payments that lower corporate tax expenses
Solutions:
| Question # 1 Answer: D | Question # 2 Answer: A | Question # 3 Answer: B | Question # 4 Answer: B | Question # 5 Answer: A |
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