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CISI ICWIM Exam Syllabus Topics:

SectionWeightObjectives
Topic 1: Market Environment20%- Economic environment
  • 1. Macroeconomic factors affecting investments
  • 2. Interest rates and inflation
  • 3. Business cycles
- Role and function of financial markets
  • 1. Market indices and benchmarks
  • 2. Market participants and intermediaries
  • 3. Types of financial markets and their roles
Topic 2: Client Advisory25%- Portfolio construction
  • 1. Portfolio review and rebalancing
  • 2. Performance measurement
  • 3. Asset allocation strategies
- Client needs analysis
  • 1. Risk profiling and suitability
  • 2. Investment objectives
  • 3. Time horizons
Topic 3: Regulation and Ethics15%- Regulatory framework
  • 1. Investor protection
  • 2. Financial regulation principles
  • 3. Compliance requirements
- Ethical conduct
  • 1. CISI Code of Ethics
  • 2. Professional responsibilities
  • 3. Conflict of interest
Topic 4: Financial Products20%- Collective investments
  • 1. Funds and structured products
  • 2. Fund selection criteria
  • 3. ETFs and index trackers
- Equities and shares
  • 1. Valuation methods
  • 2. Types of equity
  • 3. Dividends and total return
- Bonds and fixed income
  • 1. Credit risk
  • 2. Bond types and characteristics
  • 3. Yield and price relationships
Topic 5: Risk and Return20%- Portfolio theory
  • 1. Risk-return profiling
  • 2. Modern portfolio theory
  • 3. Asset allocation principles
- Risk concepts
  • 1. Types of investment risk
  • 2. Risk measurement
  • 3. Risk diversification

>> Examcollection ICWIM Questions Answers <<

ICWIM - Valid Examcollection International Certificate in Wealth & Investment Management Questions Answers

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CISI International Certificate in Wealth & Investment Management Sample Questions (Q72-Q77):

NEW QUESTION # 72
A stockbroking firm receives both buy and sell orders for the same security but from different clients. How can they best avoid a conflict of interest?

Answer: C

Explanation:
* Avoiding Conflicts of Interest:
* By placing orders in the order they are received, the firm ensures fairness and transparency.
* This approach avoids any preferential treatment and complies with regulatory obligations.
* Elimination of Other Options:
* A: Withdrawing services would not address the conflict and is impractical.
* C: Disclosing orders breaches confidentiality agreements.
* D: Prioritizing sell orders introduces bias and conflict.
References:
* ICWIM Module 5: Discussion on ethics and conflict of interest mitigation in trading.


NEW QUESTION # 73
During a period of growth in consumer income the demand curve for a normal product would:

Answer: C


NEW QUESTION # 74
Setting standards for national anti-money laundering (AML) and counter-terrorist financing (CTF) programs and evaluating how effectively member countries have implemented the standards is the role of which of the following?

Answer: A

Explanation:
The Financial Action Task Force (FATF) is an intergovernmental organization that sets global AML
/CTF standards and assesses compliance.
* Why is Option C Correct?
* FATF develops recommendations that countries must implement to combat money laundering and terrorist financing.
* It conducts peer reviews and blacklists non-compliant nations.
* Why Not Other Options?
* A (IMF) # The IMF monitors economic stability, not AML enforcement.
* B (Interpol) # Handles criminal investigations, not financial regulations.
* D (National Crime Agency) # The NCA is UK-specific, while FATF is global.
# Reference: FATF Guidelines, CISI Wealth & Investment Management.


NEW QUESTION # 75
Which of the following is an example of a mandatory corporate action with options?

Answer: C

Explanation:
# Reference: FCA Handbook (Corporate Actions), CISI Wealth & Investment Management.


NEW QUESTION # 76
When deciding on an appropriate benchmark, why would an index be chosen?

Answer: B

Explanation:
A benchmark is a reference point used to compare the performance of an investment portfolio. The chosen index should accurately reflect the investment strategy and asset class.
* Why is Option D Correct?
* A benchmark must represent a realistic investment alternative to compare against the portfolio.
* If a portfolio invests in UK equities, an appropriate benchmark would be the FTSE 100 or FTSE All-Share Index.
* If a portfolio invests globally, a relevant benchmark could be the MSCI World Index.
* Why Not Other Options?
* A (Client familiarity) # While clients may know an index, this does not mean it is the best benchmark.
* B (Avoiding difficulty) # Constructing a benchmark must be based on investment strategy, not convenience.
* C (Removing tracking error) # No benchmark eliminates tracking error; it only measures it.
# Reference: CFA Institute (Benchmark Selection), CISI Wealth & Investment Management.


NEW QUESTION # 77
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