Exam Name: Canadian Investment Regulatory Exam
Certification Provider: CIRO
Corresponding Certification: Canadian Investment Regulatory
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Updated: Nov 06, 2026
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CIRO CIRE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Overview of Regulatory Framework | ~10% | - Market Infrastructure and Protection Funds - Securities Legislation and Regulators (CSA, CIRO, FINTRAC) |
| Topic 2: Scope of Client Relationship, KYC and Suitability | ~15–18% | - Suitability Assessment and Obligations - Know Your Client (KYC) Requirements |
| Topic 3: Derivatives Fundamentals | ~5–8% | - Options, Futures and Forwards Basics - Risk and Suitability for Derivatives |
| Topic 4: Market and Company Analysis | ~8% | - Fundamental and Technical Analysis - Investment Performance Benchmarks |
| Topic 5: Market Integrity, Trade Execution and Settlement | ~12% | - UMIR and Market Integrity Rules - Order Types, Execution and Settlement Processes |
| Topic 6: Client Complaint Handling and Reporting | ~5% | - Escalation, Recordkeeping and Reporting - Complaint Management Framework |
| Topic 7: Prospective Client Relationships | ~10% | - Relationship Discovery and Qualification - Know Your Prospect (KYP) and Disclosures |
| Topic 8: Securities and Managed Products | ~19% | - Fund Structures and Product Characteristics - Equities, Fixed-Income and Managed Products |
| Topic 9: Conflicts of Interest and Ethics | ~14–15% | - Client-Focused Reforms and Ethical Standards - Conflict Identification, Disclosure and Management |
CIRO Canadian Investment Regulatory Sample Questions:
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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The Ombudsman for Banking Services and Investments (OBSI) has recommended that a firm compensate a client. If the firm refuses to comply, what action can OBSI take?
- A. Do nothing as the recommendation is not binding
- B. Enforce the recommendation via the Canadian courts
- C. Revoke the Investment Dealer's registration
- D. Make a public statement about the Investment Dealer
Correct Answer: D 🗳️
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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 optional
- B. It is useful
- C. It is mandatory
- D. It is recommended
Correct Answer: C 🗳️
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An investment advisor is considering recommending a pooled fund to a client. Which of the following is a characteristic of pooled funds?
- A. The client has full control over individual security selection within the fund
- B. The fund pools money from multiple investors to invest in a diversified portfolio
- C. The fund typically charges a flat fee regardless of the client's contribution size
- D. The client owns individual securities within the pool
Correct Answer: B 🗳️
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A Registered Representative (RR) has delegated the collection of know-your-client (KYC) information to an Investment Representative (IR), who updates it every 12 months. Why does this process fail to meet the RR's regulatory obligations?
- A. The IR is not permitted to communicate with clients
- B. The IR should update the information every six months
- C. The RR should not delegate the collection of KYC information
- D. The RR is not permitted to give investment advice
Correct Answer: C 🗳️
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