In July, the Canadian Investment Regulatory Organization (CIRO) published additional syllabuses and practice exams in furtherance of its new proficiency model, primarily for providers who may wish to develop courses for the exams and for those interested in self study. As we have previously noted, CIRO is moving from a course centric model to an assessment centric model without pre-requisite courses but with exams, mandatory education, and experience requirements. CIRO has or will publish a syllabus, study guidance and practice exam for each required CIRO exam.
The information is published on CIRO's Exam Hub, and the latest guides published are with respect to the exams for the positions of (i) retail registered representative (securities); (ii) institutional registered representative (securities); (iii) directors and executives; (iv) supervisors; (v) chief compliance officer; (vi) chief financial officer; (vii) derivatives; and (viii) trader. Practice exams were also recently published for the positions of retail registered representative (securities), institutional registered representative (securities) and directors and executives. There are five remaining practice exams to be published. All exams were built with respect to CIRO's competency profiles and will be in use as of January 1, 2026.
The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.
The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.
