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Last Updated: Sep 17, 2026
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CIRO CIRE Practice Q&A's
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CIRO CIRE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Securities, managed products, mutual funds and other investments | 19% | - Considerations affecting mutual fund investors - Considerations affecting managed product investors - Asset classes generally sold and traded at an Investment Dealer - Considerations affecting exchange-traded fund investors - Purpose and uses of market indices - Considerations affecting fixed income investors - Types of pooled products - Other investments including hedge funds, structured products, alternative investment funds, crypto assets and ESG-related products - Considerations affecting equity investors and potential shareholders - Types, features, risks and returns of fixed income securities and products - Types, features, risks and returns of equities - Features, risks and returns of managed products |
| Topic 2: Overview of Canadian securities regulatory framework | 10% | - Function and purpose of clearing agencies - Other applicable laws including confidentiality, privacy, anti-spam, company disclosure and shareholder rights - Function and purpose of other investment industry regulators and agencies - Anti-money laundering and anti-terrorist financing legislation and regulations - Purpose and implications of the Bank Act and Bankruptcy and Insolvency Act - Investment Dealer registration and individual approval requirements - Role and authority of the Canadian Securities Administrators and provincial and territorial securities and derivatives regulators - Function and purpose of investment industry marketplaces - Function and purpose of the Canadian Investor Protection Fund - Role and authority of the Canadian Investment Regulatory Organization - Criminal Code and its application to financial crime |
| Topic 3: Client complaint handling and reporting | 5% | - Recourse available to dissatisfied clients - Potential client issues, liability and consequences - Prohibited practices in client settlement agreements - Role of CIRO and provincial regulators in the complaints handling framework - Investment Dealer obligations to clients - Investment Dealer complaint reporting obligations and penalties - Policies and procedures for reporting, handling and maintaining complaint records |
| Topic 4: Prospective client relationships | 10% | - Role of cost in product selection - Required account agreement and Firm Welcome package documents - Differences between retail and institutional clients - Third parties and other professionals in the client's life - Retail client information collection - Client record documentation, filing and maintenance - Exemptions under National Instrument 45-106 - Client relationship model - Investment Dealer onboarding process - Impact of fees, turnover and taxes on investment returns - Institutional client qualification requirements |
| Topic 5: Scope of client relationships | 15% | - Account appropriateness versus suitability determination - Systematic approaches to investment management and investment strategies - Trust, agency and fiduciary duty - Investment performance benchmarks - Exemptions from suitability determination requirements - Product due diligence obligations - Institutional client sophistication assessment and suitability exemptions - Role of the Investment Representative in providing client service - Typical services provided by institutional Investment Dealers - Role of the Registered Representative in providing client service - Typical services provided by retail Investment Dealers - Internal escalation procedures and subject matter experts - Know-your-product obligations - Account appropriateness obligations - Suitability determination requirements for retail clients - Purpose and content of relationship disclosure - Requirements for working with clients in the United States and other foreign jurisdictions |
| Topic 6: Derivatives | 5% | - Listed versus over-the-counter derivative markets - Administrative requirements for derivative trading with clients - Basic transactional elements of futures and options - Prohibited derivative trading practices - Features of other derivative contract types - Features of options contract types - Basic uses of derivatives - Single and multi-legged derivative trading strategies |
| Topic 7: Market integrity, trade execution and settlement | 12% | - Reporting obligations to firms and regulators - Functions of investment banking, research and corporate finance - Order entry, trade management, settlement and delivery - Order variations, cancellations and corrections - Specialized trading agreements for derivative accounts - Universal Market Integrity Rules - Gatekeeping requirements for manipulative and deceptive practices, unacceptable activities and front running - Margin requirements - Features of different order types - UMIR gatekeeping obligations - Features of different account types - Order confirmation requirements |
| Topic 8: Market and company analysis | 8% | - Basic economic theories - Effects of macroeconomic factors on financial markets - Technical and statistical analysis tools and information sources - Basic market theories and stock market behaviour - Factors influencing the macroeconomy - Economic indicators and sources of information - Company performance analysis tools - Rules relating to companies - Industry performance analysis |
| Topic 9: Conflicts of interest and ethics | 15% | - CIRO and other ethical standards of conduct - Role of cybersecurity in protecting confidential information - Information controls, barriers, firewalls and restricted lists - Conflicts of interest management process - Client confidentiality policies and procedures - Ethical principles and standards of conduct for Approved Persons and Investment Dealers - Importance of ethics and its relationship to rules - Inappropriate or prohibited personal financial dealings with clients - Ethical and legal responsibilities to clients - Requirements regarding positions of influence - Activities outside an Investment Dealer - Importance of managing conflicts of interest |
CIRO Canadian Investment Regulatory Sample Questions:
Which of the following best defines a retail client under CIRO rules?
- A. A government-regulated institution with waived know-your-client (KYC) requirements
- B. An entity that requires full compliance with suitability and disclosure obligations
- C. An entity registered under securities law as a regulated dealer
- D. A client that must meet strict regulatory criteria to qualify as an investor
Correct Answer: B 🗳️
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What is the primary purpose of the takeover process in corporate governance?
- A. To provide a mechanism for companies to buy back their own shares from the secondary market
- B. To allow management to control when and how they are replaced in the event of a takeover
- C. To facilitate the transfer of control in a way that ensures shareholder interests are protected and fairly addressed
- D. To enable a single shareholder to acquire control of a company through the purchase of all outstanding shares
Correct Answer: C 🗳️
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An Investment Dealer supplies its clients with specific information about its client account reporting.
Which of the following is true regarding the provision of information about client reporting?
- A. It is recommended
- B. It is optional
- C. It is mandatory
- D. It is useful
Correct Answer: C 🗳️
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Hedge fund is required to disclose certain information to investors. What is a key feature of these disclosure requirements in most jurisdictions?
- A. Limited disclosure aimed at accredited or institutional investors
- B. Immediate reporting of daily performance to regulatory bodies
- C. Full public transparency of portfolio holdings
- D. Disclosure of detailed investment strategies to all potential investors
Correct Answer: A 🗳️
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Which of the following statements best describes the benefit of holding a cumulative preferred share?
- A. It accumulates voting rights regardless of dividend payment status
- B. It allows unpaid dividends to accumulate and be paid with priority
- C. It accumulates interest on missed dividends until they are paid
- D. It allows companies to accumulate redemption rights over a set time
Correct Answer: B 🗳️
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