CIRO CIRE - Canadian Investment Regulatory Exam
Updated: Aug 26, 2026
Q & A: 112 Questions and Answers
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Updated: Aug 26, 2026
Q & A: 112 Questions and Answers
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| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Derivatives | 5% | - Features of other derivative contract types - Basic transactional elements of futures and options - Basic uses of derivatives - Listed versus over-the-counter derivative markets - Administrative requirements for derivative trading with clients - Single and multi-legged derivative trading strategies - Features of options contract types - Prohibited derivative trading practices |
| Topic 2: Securities, managed products, mutual funds and other investments | 19% | - Types of pooled products - Types, features, risks and returns of fixed income securities and products - Considerations affecting fixed income investors - Considerations affecting mutual fund investors - Features, risks and returns of managed products - Types, features, risks and returns of equities - Considerations affecting exchange-traded fund investors - Considerations affecting managed product investors - Asset classes generally sold and traded at an Investment Dealer - Purpose and uses of market indices - Considerations affecting equity investors and potential shareholders - Other investments including hedge funds, structured products, alternative investment funds, crypto assets and ESG-related products |
| Topic 3: Market integrity, trade execution and settlement | 12% | - UMIR gatekeeping obligations - Order variations, cancellations and corrections - Functions of investment banking, research and corporate finance - Margin requirements - Order confirmation requirements - Order entry, trade management, settlement and delivery - Specialized trading agreements for derivative accounts - Features of different order types - Reporting obligations to firms and regulators - Gatekeeping requirements for manipulative and deceptive practices, unacceptable activities and front running - Universal Market Integrity Rules - Features of different account types |
| Topic 4: Prospective client relationships | 10% | - Exemptions under National Instrument 45-106 - Institutional client qualification requirements - Third parties and other professionals in the client's life - Retail client information collection - Client relationship model - Required account agreement and Firm Welcome package documents - Differences between retail and institutional clients - Impact of fees, turnover and taxes on investment returns - Client record documentation, filing and maintenance - Role of cost in product selection - Investment Dealer onboarding process |
| Topic 5: Conflicts of interest and ethics | 15% | - CIRO and other ethical standards of conduct - Activities outside an Investment Dealer - Inappropriate or prohibited personal financial dealings with clients - Client confidentiality policies and procedures - Importance of managing conflicts of interest - Ethical and legal responsibilities to clients - Importance of ethics and its relationship to rules - Ethical principles and standards of conduct for Approved Persons and Investment Dealers - Role of cybersecurity in protecting confidential information - Conflicts of interest management process - Requirements regarding positions of influence - Information controls, barriers, firewalls and restricted lists |
| Topic 6: Client complaint handling and reporting | 5% | - Role of CIRO and provincial regulators in the complaints handling framework - Potential client issues, liability and consequences - Investment Dealer obligations to clients - Investment Dealer complaint reporting obligations and penalties - Policies and procedures for reporting, handling and maintaining complaint records - Recourse available to dissatisfied clients - Prohibited practices in client settlement agreements |
| Topic 7: Overview of Canadian securities regulatory framework | 10% | - Other applicable laws including confidentiality, privacy, anti-spam, company disclosure and shareholder rights - Role and authority of the Canadian Investment Regulatory Organization - Function and purpose of the Canadian Investor Protection Fund - Anti-money laundering and anti-terrorist financing legislation and regulations - Investment Dealer registration and individual approval requirements - Function and purpose of clearing agencies - Function and purpose of other investment industry regulators and agencies - Criminal Code and its application to financial crime - Function and purpose of investment industry marketplaces - Purpose and implications of the Bank Act and Bankruptcy and Insolvency Act - Role and authority of the Canadian Securities Administrators and provincial and territorial securities and derivatives regulators |
| Topic 8: Market and company analysis | 8% | - Company performance analysis tools - Technical and statistical analysis tools and information sources - Economic indicators and sources of information - Effects of macroeconomic factors on financial markets - Factors influencing the macroeconomy - Rules relating to companies - Basic market theories and stock market behaviour - Basic economic theories - Industry performance analysis |
| Topic 9: Scope of client relationships | 15% | - Typical services provided by institutional Investment Dealers - Purpose and content of relationship disclosure - Account appropriateness versus suitability determination - Institutional client sophistication assessment and suitability exemptions - Exemptions from suitability determination requirements - Systematic approaches to investment management and investment strategies - Internal escalation procedures and subject matter experts - Know-your-product obligations - Typical services provided by retail Investment Dealers - Product due diligence obligations - Investment performance benchmarks - Trust, agency and fiduciary duty - Requirements for working with clients in the United States and other foreign jurisdictions - Suitability determination requirements for retail clients - Role of the Investment Representative in providing client service - Role of the Registered Representative in providing client service - Account appropriateness obligations |
1. A client calls their Investment Dealer to cancel an order to purchase 1,000 shares of a stock. However, the order has already been executed. What is the Investment Dealer's most appropriate action in this situation?
A) The dealer should try to reverse the trade as soon as possible by executing a new opposing trade
B) The dealer should cancel the order as per the client's request, regardless of the execution status
C) The dealer should inform the client that the order has already been executed and that it cannot be undone
D) The dealer should inform the client they need to file a request with the exchange to cancel order
2. What must an Investment Dealer include in a remediation plan when addressing a capital deficiency?
A) A detailed timeline for restoring compliance and actions taken to mitigate risks
B) A request to waive the capital requirement for a defined period
C) A summary of penalties imposed on employees responsible for the shortfall
D) A list of high-risk investments used to improve capital reserves
3. When an employee of an Investment Dealer engages in an outside business activity what must they do?
A) Obtain prior written consent of the Investment Dealer
B) Ensure it is closely aligned with their duties to the Investment Dealer
C) Only recommend products and services offered by the Investment Dealer
D) Be independently responsible for monitoring and compliance enforcement
4. 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 provides guaranteed returns above the market average
C) It offers no protection against the principal investment
D) It involves a high level of risk, similar to equity investments
5. What is the primary purpose of the takeover process in corporate governance?
A) To provide a mechanism for companies to buy back their own shares from the secondary market
B) To facilitate the transfer of control in a way that ensures shareholder interests are protected and fairly addressed
C) To enable a single shareholder to acquire control of a company through the purchase of all outstanding shares
D) To allow management to control when and how they are replaced in the event of a takeover
Solutions:
| Question # 1 Answer: C | Question # 2 Answer: A | Question # 3 Answer: A | Question # 4 Answer: A | Question # 5 Answer: B |
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