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Updated: Aug 26, 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 |
| Exam Price: | CAD 475 |
| Certificate Validity Period: | 3 years |
| Real Exam Qty: | 110 |
| Available Languages: | English, French |
| Exam Format: | Multiple choice, Proctored, Remote online proctored, In person |
| Related Certifications: | Retail Securities Exam Institutional Securities Exam Director and Executive Exam Supervisor Exam Chief Compliance Officer Exam Chief Financial Officer Exam Derivatives Exam Trader Exam |
| Recommended Training: | CIRE Syllabus Canadian Investment Regulatory Exam (CIRE) Official Exam Page CIRE Guide for Studying |
| 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 and company analysis | 8% | - Rules relating to companies - Effects of macroeconomic factors on financial markets - Factors influencing the macroeconomy - Technical and statistical analysis tools and information sources - Company performance analysis tools - Economic indicators and sources of information - Basic market theories and stock market behaviour - Industry performance analysis - Basic economic theories |
| Client complaint handling and reporting | 5% | - Investment Dealer obligations to clients - Potential client issues, liability and consequences - Role of CIRO and provincial regulators in the complaints handling framework - Investment Dealer complaint reporting obligations and penalties - Recourse available to dissatisfied clients - Prohibited practices in client settlement agreements - Policies and procedures for reporting, handling and maintaining complaint records |
| Derivatives | 5% | - Features of options contract types - Single and multi-legged derivative trading strategies - Prohibited derivative trading practices - Basic uses of derivatives - Listed versus over-the-counter derivative markets - Features of other derivative contract types - Basic transactional elements of futures and options - Administrative requirements for derivative trading with clients |
| Securities, managed products, mutual funds and other investments | 19% | - Considerations affecting managed product investors - Types of pooled products - Considerations affecting equity investors and potential shareholders - Types, features, risks and returns of equities - Types, features, risks and returns of fixed income securities and products - Other investments including hedge funds, structured products, alternative investment funds, crypto assets and ESG-related products - Asset classes generally sold and traded at an Investment Dealer - Considerations affecting exchange-traded fund investors - Purpose and uses of market indices - Features, risks and returns of managed products - Considerations affecting mutual fund investors - Considerations affecting fixed income investors |
| Market integrity, trade execution and settlement | 12% | - Reporting obligations to firms and regulators - Order entry, trade management, settlement and delivery - Functions of investment banking, research and corporate finance - Order variations, cancellations and corrections - Universal Market Integrity Rules - Margin requirements - Order confirmation requirements - Features of different order types - UMIR gatekeeping obligations - Features of different account types - Specialized trading agreements for derivative accounts - Gatekeeping requirements for manipulative and deceptive practices, unacceptable activities and front running |
| Conflicts of interest and ethics | 15% | - Client confidentiality policies and procedures - Importance of managing conflicts of interest - Activities outside an Investment Dealer - Ethical principles and standards of conduct for Approved Persons and Investment Dealers - Requirements regarding positions of influence - 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 - Importance of ethics and its relationship to rules - Inappropriate or prohibited personal financial dealings with clients - Ethical and legal responsibilities to clients |
| Overview of Canadian securities regulatory framework | 10% | - Anti-money laundering and anti-terrorist financing legislation and regulations - Function and purpose of investment industry marketplaces - Role and authority of the Canadian Securities Administrators and provincial and territorial securities and derivatives regulators - Role and authority of the Canadian Investment Regulatory Organization - Other applicable laws including confidentiality, privacy, anti-spam, company disclosure and shareholder rights - Purpose and implications of the Bank Act and Bankruptcy and Insolvency Act - Function and purpose of other investment industry regulators and agencies - Investment Dealer registration and individual approval requirements - Function and purpose of clearing agencies - Function and purpose of the Canadian Investor Protection Fund - Criminal Code and its application to financial crime |
| Prospective client relationships | 10% | - Third parties and other professionals in the client's life - Impact of fees, turnover and taxes on investment returns - Client relationship model - Exemptions under National Instrument 45-106 - Client record documentation, filing and maintenance - Retail client information collection - Differences between retail and institutional clients - Investment Dealer onboarding process - Required account agreement and Firm Welcome package documents - Institutional client qualification requirements - Role of cost in product selection |
| Scope of client relationships | 15% | - Typical services provided by institutional Investment Dealers - Product due diligence obligations - Role of the Investment Representative in providing client service - Institutional client sophistication assessment and suitability exemptions - Trust, agency and fiduciary duty - Account appropriateness versus suitability determination - Exemptions from suitability determination requirements - Systematic approaches to investment management and investment strategies - Role of the Registered Representative in providing client service - Investment performance benchmarks - Account appropriateness obligations - Know-your-product obligations - Suitability determination requirements for retail clients - Requirements for working with clients in the United States and other foreign jurisdictions - Purpose and content of relationship disclosure - Typical services provided by retail Investment Dealers - Internal escalation procedures and subject matter experts |
CIRO Canadian Investment Regulatory Sample Questions:
1. How does the Relative Strength Index (RSI) help investors assess market conditions?
A) It measures the volatility of a stock by comparing its high and low prices
B) It indicates whether a stock is overbought or oversold, signaling possible trend reversals
C) It evaluates the price-to-earnings (P/E) ratio of a stock to determine its market value
D) It analyzes the company's quarterly earnings to forecast future stock prices
2. Which of the following is a key feature of government bonds?
A) Government bonds do not have an expiration date, and investors can hold them indefinitely
B) Government bonds are considered speculative investments due to their fluctuating interest rates
C) Government bonds typically have a high level of credit risk due to the issuer's potential for default
D) Government bonds offer a fixed rate of return paid periodically, with the principal repaid at maturity
3. An investment analyst is explaining the characteristics of principal-protected notes (PPNs) to a client.
Which of the following is a key feature of a PPN?
A) It guarantees the return of the initial investment at maturity
B) It offers no protection against the principal investment
C) It provides guaranteed returns above the market average
D) It involves a high level of risk, similar to equity investments
4. Before purchasing shares in a publicly traded company, it is important to evaluate a key advantage and disadvantage of share ownership. What should be considered?
A) Share ownership provides potential capital gains and claim on dividends if distributed
B) Share ownership often offers fixed payments and guaranteed principal at maturity
C) Share ownership provides limited financial risk but no influence on company direction
D) Shareholders are generally repaid before bondholders in the event of insolvency
5. A Portfolio Manager with discretionary accounts controls the proxy voting on behalf of clients. The firm does not typically participate in corporate governance votes but the manager's sister-in-law has been nominated for the board, and has asked the manager to vote in favour of her nomination. The manager believes she is well qualified. How should the manager proceed?
A) Vote as requested by the sister-in-law, as the firm does not typically participate in governance votes, so this situation is unlikely to matter
B) The manager should vote against the nomination, as it could create a potential conflict of interest even though she is qualified
C) The manager should abstain from voting, as the personal relationship with the nominee creates a potential conflict of interest
D) The manager should vote in favour of the nomination, but only if they disclose the personal relationship to clients before casting the vote
Solutions:
| Question # 1 Answer: B | Question # 2 Answer: D | Question # 3 Answer: A | Question # 4 Answer: A | Question # 5 Answer: C |
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