Exam Name: Canadian Investment Regulatory Exam
Certification Provider: CIRO
Corresponding Certification: Canadian Investment Regulatory
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Updated: Oct 07, 2026
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CIRO CIRE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Conflicts of Interest and Ethics | ~14–15% | - Client-Focused Reforms and Ethical Standards - Conflict Identification, Disclosure and Management |
| Topic 2: Client Complaint Handling and Reporting | ~5% | - Complaint Management Framework - Escalation, Recordkeeping and Reporting |
| Topic 3: Market and Company Analysis | ~8% | - Investment Performance Benchmarks - Fundamental and Technical Analysis |
| Topic 4: Market Integrity, Trade Execution and Settlement | ~12% | - UMIR and Market Integrity Rules - Order Types, Execution and Settlement Processes |
| Topic 5: Derivatives Fundamentals | ~5–8% | - Risk and Suitability for Derivatives - Options, Futures and Forwards Basics |
| Topic 6: Scope of Client Relationship, KYC and Suitability | ~15–18% | - Know Your Client (KYC) Requirements - Suitability Assessment and Obligations |
| Topic 7: Securities and Managed Products | ~19% | - Fund Structures and Product Characteristics - Equities, Fixed-Income and Managed Products |
| Topic 8: Prospective Client Relationships | ~10% | - Know Your Prospect (KYP) and Disclosures - Relationship Discovery and Qualification |
| Topic 9: Overview of Regulatory Framework | ~10% | - Market Infrastructure and Protection Funds - Securities Legislation and Regulators (CSA, CIRO, FINTRAC) |
CIRO Canadian Investment Regulatory Sample Questions:
What must an Approved Person understand about securities to comply with know-your-product (KYP) obligations?
- A. Alternative securities that may be suitable
- B. The market demand and media coverage
- C. The securities' intended use by the client
- D. The securities' structure, features, and risks
Correct Answer: D 🗳️
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A product manufacturer uses a disincentive approach and claws back a portion of commissions paid to a Registered Representative (RR) if a client sells their position in a structured product before the two- year anniversary. What is the RR's ethical responsibility during the client's annual suitability review in relation to this structured product?
- A. Ensure any recommendation to hold or sell is based on the just and equitable principles of the trade
- B. Encourage the client to sell the product within two years to demonstrate their independence from the firm's policies
- C. Advise the client to hold the product until the two-year anniversary, as this would be in the best interest of the client
- D. Emphasize the claw-back policy, as not to do so would diminish the investor's confidence in the integrity of the market
Correct Answer: A 🗳️
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Which of the following is an expected impact of high portfolio turnover on investment returns?
- A. It guarantees higher investment returns for the client
- B. It decreases the tax burden, which increases returns
- C. It increases transaction costs, which reduce returns
- D. It decreases the overall total risk of the portfolio
Correct Answer: C 🗳️
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Where would a retail client of an Investment Dealer find a description of its complaint handling procedures?
- A. The know-your-client (KYC) Information Form
- B. The Account Opening Agreement
- C. The Fee Disclosure Document
- D. The Relationship Disclosure
Correct Answer: D 🗳️
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Which of the following accurately describes a key characteristic of mutual fund trusts?
- A. They issue shares that can be traded on the stock exchange, similar to stocks
- B. They are restricted to investing in government bonds and cannot hold equity investments
- C. They invest in a diversified portfolio of assets and pass on income to unitholders
- D. They are subject to a flat tax rate, regardless of the income they generate
Correct Answer: C 🗳️
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