CIRO CIRE Exam : Canadian Investment Regulatory Exam

Exam Code: CIRE
Exam Name: Canadian Investment Regulatory Exam
Updated: Oct 11, 2026
Q & A: 112 Questions and Answers

About CIRO CIRE Exam Questions

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CIRO CIRE Exam Syllabus Topics:

Section	Weight	Objectives
Conflicts of interest and ethics	15%	- Client confidentiality - Positions of influence - Managing conflicts of interest - Ethics and regulatory rules - Ethical and legal responsibilities to clients - Personal financial dealings with clients - Ethical principles and standards of conduct - Cybersecurity and confidential information - Information barriers and restricted lists - CIRO and other ethical standards - Outside activities of Approved Persons - Conflict identification, avoidance, addressing and disclosure
Market integrity, trade execution and settlement	12%	- Gatekeeping for manipulative and deceptive practices - Margin requirements - Order confirmation requirements - Account types - Order variations, cancellations and corrections - Investment banking, research and corporate finance - UMIR gatekeeping obligations - Order entry, trade processing, settlement and delivery - Reporting obligations - Derivative trading agreements - Order types - Universal Market Integrity Rules
Securities, managed products, mutual funds and other investments	19%	- Managed product investment considerations - Equity investment considerations - Asset classes - Pooled products - Fixed income investment considerations - Exchange-traded funds - Mutual funds - Fixed income securities and products - Equities - Other investments - Market indices - Managed products
Derivatives	5%	- Derivative account administration - Listed and over-the-counter derivatives markets - Futures, forwards, swaps and contracts for difference - Options - Uses of derivatives - Prohibited derivative trading practices - Derivative trading strategies - Transactional elements of futures and options
Scope of client relationships	15%	- Investment management styles and strategies - Product due diligence - Client suitability determination - Escalation to subject matter experts - Registered Representative role and client service - Suitability exemptions - Account appropriateness - Trust, agency and fiduciary duty - Know-your-product requirements - Account appropriateness versus suitability - Retail Investment Dealer services - Clients residing in the United States and other foreign jurisdictions - Institutional client sophistication and suitability exemptions - Investment performance benchmarks - Relationship disclosure - Institutional Investment Dealer services - Investment Representative role and client service
Client complaint handling and reporting	5%	- Client issues and potential liability - Complaint policies, procedures and recordkeeping - Client recourse options - Settlement agreements with clients - CIRO and provincial regulator roles in complaint handling - Investment Dealer obligations to clients - Investment Dealer complaint reporting obligations
Market and company analysis	8%	- Technical and statistical analysis tools - Company performance analysis - Economic information and indicators - Market theories and stock market behaviour - Basic economic theories - Company regulation, disclosure and investor rights - Macroeconomic effects on financial markets - Industry performance analysis - Macroeconomic factors and policies
Prospective client relationships	10%	- Third parties and professional advisers - Institutional client qualification - Account agreements and welcome documentation - Investment Dealer onboarding process - Retail client information and risk profile - Accredited investors and exemptions - Client relationship model - Client recordkeeping - Retail and institutional clients - Costs, fees, turnover and taxes
Overview of Canadian securities regulatory framework	10%	- Investment Dealer registration and individual approval requirements - Role and authority of the Canadian Securities Administrators and provincial/territorial securities and derivatives regulators - Canadian Investor Protection Fund - Confidentiality, privacy, anti-spam and shareholder rights legislation - Role and authority of the Canadian Investment Regulatory Organization - Bank Act and Bankruptcy and Insolvency Act - Other investment industry regulators and agencies - Criminal Code and financial crime - Marketplaces and trading venues - Clearing agencies - Anti-money laundering requirements

CIRO Canadian Investment Regulatory Sample Questions:

Question #1

What role do margin requirements play in managing risk for both short and long positions?

A. They require clients to maintain sufficient funds to cover losses in both short and long positions
B. They apply exclusively to short positions, with no impact on long positions
C. They increase the amount of capital needed but do not reduce the leverage available
D. They are not enforced for accounts where trades are executed at the dealer's discretion

Reveal Solution Discussion 0

Correct Answer: A 🗳️