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Last Updated: Sep 18, 2026
No. of Questions: 112 Questions & Answers with Testing Engine
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CIRO CIRE Practice Q&A's
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CIRO CIRE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Conflicts of interest and ethics | 15% | - Information barriers and restricted lists - Personal financial dealings with clients - Positions of influence - Client confidentiality - Outside activities of Approved Persons - Cybersecurity and confidential information - Ethical principles and standards of conduct - Conflict identification, avoidance, addressing and disclosure - CIRO and other ethical standards - Ethics and regulatory rules - Managing conflicts of interest - Ethical and legal responsibilities to clients |
| Topic 2: Securities, managed products, mutual funds and other investments | 19% | - Equity investment considerations - Fixed income securities and products - Managed products - Equities - Exchange-traded funds - Asset classes - Fixed income investment considerations - Other investments - Mutual funds - Market indices - Managed product investment considerations - Pooled products |
| Topic 3: Prospective client relationships | 10% | - Client relationship model - Retail client information and risk profile - Costs, fees, turnover and taxes - Account agreements and welcome documentation - Institutional client qualification - Third parties and professional advisers - Investment Dealer onboarding process - Accredited investors and exemptions - Client recordkeeping - Retail and institutional clients |
| Topic 4: Market integrity, trade execution and settlement | 12% | - Order variations, cancellations and corrections - Margin requirements - Order confirmation requirements - UMIR gatekeeping obligations - Derivative trading agreements - Investment banking, research and corporate finance - Universal Market Integrity Rules - Gatekeeping for manipulative and deceptive practices - Order types - Account types - Reporting obligations - Order entry, trade processing, settlement and delivery |
| Topic 5: Derivatives | 5% | - Options - Derivative account administration - Listed and over-the-counter derivatives markets - Transactional elements of futures and options - Derivative trading strategies - Prohibited derivative trading practices - Uses of derivatives - Futures, forwards, swaps and contracts for difference |
| Topic 6: Overview of Canadian securities regulatory framework | 10% | - Role and authority of the Canadian Securities Administrators and provincial/territorial securities and derivatives regulators - Anti-money laundering requirements - Clearing agencies - Marketplaces and trading venues - Other investment industry regulators and agencies - Bank Act and Bankruptcy and Insolvency Act - Investment Dealer registration and individual approval requirements - Confidentiality, privacy, anti-spam and shareholder rights legislation - Role and authority of the Canadian Investment Regulatory Organization - Canadian Investor Protection Fund - Criminal Code and financial crime |
| Topic 7: Client complaint handling and reporting | 5% | - Investment Dealer obligations to clients - CIRO and provincial regulator roles in complaint handling - Client recourse options - Client issues and potential liability - Complaint policies, procedures and recordkeeping - Settlement agreements with clients - Investment Dealer complaint reporting obligations |
| Topic 8: Scope of client relationships | 15% | - Institutional Investment Dealer services - Know-your-product requirements - Escalation to subject matter experts - Suitability exemptions - Client suitability determination - Registered Representative role and client service - Institutional client sophistication and suitability exemptions - Account appropriateness versus suitability - Clients residing in the United States and other foreign jurisdictions - Trust, agency and fiduciary duty - Account appropriateness - Retail Investment Dealer services - Investment performance benchmarks - Investment Representative role and client service - Relationship disclosure - Investment management styles and strategies - Product due diligence |
| Topic 9: Market and company analysis | 8% | - Industry performance analysis - Market theories and stock market behaviour - Company performance analysis - Basic economic theories - Company regulation, disclosure and investor rights - Macroeconomic effects on financial markets - Economic information and indicators - Technical and statistical analysis tools - Macroeconomic factors and policies |
CIRO Canadian Investment Regulatory Sample Questions:
What should a Registered Representative (RR) do if a client requests to share sensitive investment documents through an unsecured platform?
- A. Share the documents but alert the cybersecurity team so they can look for data breaches
- B. Explain the risks and offer secure alternatives for sharing information
- C. Share the documents in the manner requested to maintain the client relationship
- D. Encrypt the documents according to firm policy and proceed without informing the client
Correct Answer: B 🗳️
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Which of the following scenarios best illustrates the use of derivatives for risk management through hedging?
- A. A hedge fund uses leverage in derivatives to amplify potential returns in its portfolio
- B. A trader enters into a speculative futures contract to capitalize on anticipated price movements in crude oil
- C. A company purchases a forward contract to lock in a fixed exchange rate for a future international transaction
- D. An investor buys call options on a stock, anticipating its price will rise in the near future
Correct Answer: C 🗳️
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What is the primary mandate of the Office of the Superintendent of Financial Institutions (OSFI)?
- A. Monitoring anti-money laundering compliance
- B. Investigating securities fraud
- C. Supervising federally-regulated financial institutions
- D. Managing investor protection funds
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 optional
- B. It is recommended
- C. It is mandatory
- D. It is useful
Correct Answer: C 🗳️
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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
Correct Answer: A 🗳️
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