CIRO Chief Compliance Officer Exam Study Plan

Use the topic map below to turn CIRO Chief Compliance Officer Exam into a repeatable weekly process instead of a loose reading project.

30-day intensive track

• Week 1: General regulatory framework; Compliance function and operation; Investment Dealer business model and related areas; Offering and distribution of securities; Corporate governance and ethics
• Week 2: Duties, liabilities and defences; Risk management and internal controls; Compliance as risk management; Significant areas of risk
• Week 3: Regulatory reporting, examinations, investigations and actions; Compliance responsibilities; Chief Compliance Officer (CCO) responsibilities; Ultimate Designated Person (UDP) responsibility
• Week 4: run mixed timed sets, review every miss, and re-drill the 2-3 topics that still produce hesitation.

60-day balanced track

• Weeks 1-2: General regulatory framework; Compliance function and operation; Investment Dealer business model and related areas; Offering and distribution of securities
• Weeks 3-4: Corporate governance and ethics; Duties, liabilities and defences; Risk management and internal controls
• Weeks 5-6: Compliance as risk management; Significant areas of risk; Regulatory reporting, examinations, investigations and actions
• Weeks 7-8: Compliance responsibilities; Chief Compliance Officer (CCO) responsibilities; Ultimate Designated Person (UDP) responsibility

90-day part-time track

• Weeks 1-2: General regulatory framework; Compliance function and operation; Investment Dealer business model and related areas
• Weeks 3-4: Offering and distribution of securities; Corporate governance and ethics
• Weeks 5-6: Duties, liabilities and defences; Risk management and internal controls
• Weeks 7-8: Compliance as risk management; Significant areas of risk
• Weeks 9-10: Regulatory reporting, examinations, investigations and actions; Compliance responsibilities
• Weeks 11-12: Chief Compliance Officer (CCO) responsibilities; Ultimate Designated Person (UDP) responsibility
• Across the final two weeks: slow down, clean up note cards and rule sheets, then finish with timed mixed review rather than new content.

Final stretch

• Run timed mixed sets in practice .
• Review every miss and write a one-line rule: what controlled answer was better, and why?
• Re-drill the weakest topic group instead of chasing random new questions.
• Work toward roughly 120 seconds per question so timing pressure does not force bad decisions on exam day.