CIRE Exam Dumps
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| Certification Provider: | CIRO |
|---|---|
| Exam Code / Number: | CIRE |
| Exam Name: | Canadian Investment Regulatory Exam |
| Exam Questions: | 112 |
| Last Updated: | Aug 26, 2026 |
| Corresponding Certification: | Canadian Investment Regulatory |
CIRO CIRE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Overview of Canadian securities regulatory framework | 10% | - Marketplaces and trading venues - Clearing agencies - Role and authority of the Canadian Investment Regulatory Organization - Investment Dealer registration and individual approval requirements - Confidentiality, privacy, anti-spam and shareholder rights legislation - Anti-money laundering requirements - Criminal Code and financial crime - Other investment industry regulators and agencies - Role and authority of the Canadian Securities Administrators and provincial/territorial securities and derivatives regulators - Canadian Investor Protection Fund - Bank Act and Bankruptcy and Insolvency Act |
| Securities, managed products, mutual funds and other investments | 19% | - Equities - Other investments - Managed products - Fixed income investment considerations - Mutual funds - Pooled products - Fixed income securities and products - Asset classes - Equity investment considerations - Managed product investment considerations - Exchange-traded funds - Market indices |
| Derivatives | 5% | - Uses of derivatives - Derivative trading strategies - Transactional elements of futures and options - Options - Derivative account administration - Prohibited derivative trading practices - Futures, forwards, swaps and contracts for difference - Listed and over-the-counter derivatives markets |
| Scope of client relationships | 15% | - Clients residing in the United States and other foreign jurisdictions - Account appropriateness versus suitability - Retail Investment Dealer services - Institutional Investment Dealer services - Account appropriateness - Investment management styles and strategies - Client suitability determination - Escalation to subject matter experts - Product due diligence - Relationship disclosure - Institutional client sophistication and suitability exemptions - Registered Representative role and client service - Investment performance benchmarks - Suitability exemptions - Trust, agency and fiduciary duty - Investment Representative role and client service - Know-your-product requirements |
| Conflicts of interest and ethics | 15% | - Conflict identification, avoidance, addressing and disclosure - Information barriers and restricted lists - Ethics and regulatory rules - Outside activities of Approved Persons - Ethical principles and standards of conduct - Ethical and legal responsibilities to clients - CIRO and other ethical standards - Personal financial dealings with clients - Managing conflicts of interest - Cybersecurity and confidential information - Client confidentiality - Positions of influence |
| Market and company analysis | 8% | - Economic information and indicators - Macroeconomic effects on financial markets - Basic economic theories - Company regulation, disclosure and investor rights - Macroeconomic factors and policies - Technical and statistical analysis tools - Industry performance analysis - Market theories and stock market behaviour - Company performance analysis |
| Market integrity, trade execution and settlement | 12% | - Margin requirements - Account types - Gatekeeping for manipulative and deceptive practices - Derivative trading agreements - Universal Market Integrity Rules - Reporting obligations - Order types - Order variations, cancellations and corrections - Investment banking, research and corporate finance - Order entry, trade processing, settlement and delivery - Order confirmation requirements - UMIR gatekeeping obligations |
| Prospective client relationships | 10% | - Client recordkeeping - Account agreements and welcome documentation - Accredited investors and exemptions - Retail and institutional clients - Client relationship model - Costs, fees, turnover and taxes - Third parties and professional advisers - Retail client information and risk profile - Institutional client qualification - Investment Dealer onboarding process |
| Client complaint handling and reporting | 5% | - Complaint policies, procedures and recordkeeping - CIRO and provincial regulator roles in complaint handling - Investment Dealer obligations to clients - Client recourse options - Investment Dealer complaint reporting obligations - Client issues and potential liability - Settlement agreements with clients |