• CIRE Element 1 module: Overview of Canadian securities regulatory framework · Module ERCI, élément 1 : Aperçu du cadre de réglementation des valeurs mobilières au Canada
  • The Element 1 overview in CIROPrep Academy: units, lessons and study tools, with example learner progress.
  • Lesson 1.1 in CIROPrep Academy, on securities regulators and the CSA, with the lesson sidebar.
  • A practice question on the CSA’s function, answered, with the explanation of each choice.
  • A flashcard comparing National and Multilateral Instruments, front and back.
  • The Element 1 Home in CIROPrep Academy: the next lesson and example learner progress.
1 6

CIROPrep

CIRE Element 1 Module: Overview of Canadian securities regulatory framework

CIRE Element 1 Module: Overview of Canadian securities regulatory framework

Understand Canada’s securities regulatory framework through focused lessons, practice questions and explanations.

4 units · 9 lessons · 55 practice questions
English and French included

$29.00 CAD
$29.00 CAD
Sale Sold out

Purchase details: One-time payment at the price shown, plus applicable sales taxes calculated at checkout · 6 months of access · No subscription or automatic renewal · Terms of sale and refunds

This purchase includes Element 1 only. Other element modules are available separately.

Prepare for CIRE Element 1 with a structured study path covering regulatory responsibilities, the trading system, investor protection and the obligations that shape daily practice.

What you’ll study

  • Who regulates the industry? Securities regulators, the CSA, CIRO, rules, registration and approval.
  • How does a trade move through the system? Marketplaces, clearing, settlement and custody.
  • Who protects investors, and how? Dealer insolvency, CIPF, complaints, oversight and financial crime.
  • What obligations shape daily practice? Anti-money-laundering controls, due diligence, records, confidentiality, privacy and disclosure.

Included in your module

  • 4 units and 9 lessons.
  • 55 practice questions written by CIROPrep, with answer explanations.
  • 35 flashcards, mind maps and 9 exam tips.
  • Lesson knowledge checks and unit practice.
  • Progress tracking and a personal Review list.
  • English and French included.

Understand. Practice. Improve.

Read a lesson, recall its key ideas, then check your understanding. Use the explanations and lesson links to revisit what needs more attention.

Access: One-time payment for 6 months of online access through CIROPrep Academy. No subscription or automatic renewal. This purchase includes Element 1 only.

After checkout, sign in to ciroprep.academy using the email address provided with your purchase.

View full details

Module structure

This module groups related learning outcomes into units and lessons to help you organize your study plan.

Unit 1 Who regulates the industry?

  • 1.1 Securities regulators, CSA and instruments
  • 1.2 CIRO, rules, registration and approval

Unit 2 How does a trade move through the system?

  • 1.3 Marketplaces
  • 1.4 Clearing, settlement and custody

Unit 3 Who protects investors, and how?

  • 1.5 Dealer insolvency, CIPF and bankruptcy
  • 1.6 Agencies, complaints, oversight and financial crime

Unit 4 What obligations shape daily practice?

  • 1.7 Money laundering stages, risks and indicators
  • 1.8 AML compliance, due diligence and records
  • 1.9 Confidentiality, privacy, messages and disclosure