CIRO Chief Compliance Officer Exam Syllabus

Use this page as your coverage checklist for CIRO Chief Compliance Officer Exam.

Live topic list

1. Element 1 — General regulatory framework
2. Element 2 — Compliance function and operation
3. Element 3 — Investment Dealer business model and related areas
4. Element 4 — Offering and distribution of securities
5. Element 5 — Corporate governance and ethics
6. Element 6 — Duties, liabilities and defences
7. Element 7 — Risk management and internal controls
8. Element 8 — Compliance as risk management
9. Element 9 — Significant areas of risk
10. Element 10 — Regulatory reporting, examinations, investigations and actions
11. Element 11 — Compliance responsibilities
12. Element 12 — Chief Compliance Officer (CCO) responsibilities
13. Element 13 — Ultimate Designated Person (UDP) responsibility

How to use the syllabus

• Work through the topics in order if you want a clean first pass.
• After each topic, run a short set in practice to confirm you can apply the rules under time pressure.
• Use the cheat sheet to condense each topic into a few decision rules, control points, or escalation cues.

Exam snapshot

• Format: 90 multiple-choice questions, 180 minutes
• Current topic count: 13