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CISI ICWIM Exam Syllabus Topics:

Section	Objectives
Regulation and Ethics	- Regulatory environment in financial services - Ethical standards in investment advice - Conduct of business and compliance principles
Investment Products and Suitability	- Equities, bonds, and collective investments - Taxation and charges overview - Suitability and client profiling
Wealth Management Principles	- Client investment needs and objectives - Portfolio construction basics - Risk and return concepts
Investment and Financial Markets	- Asset classes and investment products - Structure of financial markets - Market participants and their roles

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CISI International Certificate in Wealth & Investment Management Sample Questions (Q171-Q176):

NEW QUESTION # 171
A business may need key person protection because:

A. Its profits are very seasonal
B. It is to cover a very significant customer
C. The business relies on the input of an individual
D. It is a very small business

Answer: C

NEW QUESTION # 172
An economy with two consecutive quarters of negative growth is considered to be in what phase of an economic cycle?

A. Slump
B. Depression
C. Inflationary
D. Recession

Answer: D

Explanation:
* Definition of Recession:
* A recession is defined as two consecutive quarters of negative GDP growth, indicating a sustained economic downturn.
* It reflects reduced consumer spending, higher unemployment, and lower production.
* Elimination of Other Options:
* B (Slump): A slump is a more general term and not a specific phase.
* C (Depression): Refers to prolonged and severe economic downturns.
* D (Inflationary): Opposite of the scenario described.
References:
* ICWIM Module 1: Explanation of economic cycles and recession indicators.

NEW QUESTION # 173
Assuming an upward-sloping yield curve that does not change, how can a fund manager profit from buying a longer-dated bond?

A. The yield will rise as the bond gets closer to maturity, so the bond can be sold for a profit
B. The gross redemption yield will rise on the purchased bond as maturity nears
C. The yield will fall as the bond gets closer to maturity, so the bond can be sold for a profit
D. As time passes, the yield and price of the purchased bond will rise

Answer: C

Explanation:
In an upward-sloping yield curve, long-term bonds typically have higher yields than short-term bonds. As the bond nears maturity:
Price Appreciation: The bond price rises as the yield declines due to the pull-to-par effect.
Capital Gains Opportunity: A fund manager can sell the bond before maturity for a profit if interest rates remain unchanged.
Yield and Price Relationship: Bond prices move inversely to yields. When yields fall, prices rise, allowing for a profit upon sale.
# Reference: CISI Wealth & Investment Management (Fixed-Income Securities), CFA Institute (Bond Pricing
& Yield Curves).

NEW QUESTION # 174
A firm has an existing client who is the head of a foreign state. What type of due diligence should the firm undertake if the client's spouse applies to become a client?

A. Standard
B. Simplified
C. Enhanced
D. Additional

Answer: C

Explanation:
A client who is the spouse of the head of a foreign state is classified as aPolitically Exposed Person (PEP).
Firms are required to undertakeenhanced due diligence (EDD)for PEPs and their immediate family members due to the increased risk of corruption, money laundering, or misuse of public funds.
* Simplified (A): This applies to low-risk clients, not PEPs.
* Standard (B): Standard due diligence is insufficient for PEPs or their relatives.
* Additional (D): This term is not a formal category under anti-money laundering (AML) regulations.
References:
* International Certificate in Wealth & Investment Management: AML procedures and the treatment of PEPs.
* FATF (Financial Action Task Force) guidelines on enhanced due diligence for politically exposed persons.

NEW QUESTION # 175
What is the role of a central counterparty (CCP)?

A. It interposes itself between the counterparties to a trade, becoming the buyer to every seller and the seller to every buyer
B. The CCP guarantees that the counterparties will not default
C. To act as a market maker between counterparties
D. To provide funding to counterparties as and when required

Answer: A

Explanation:
* Role of a Central Counterparty (CCP):
* A CCP acts as a mediator in financial transactions, ensuring stability and reducing counterparty risk.
* By becoming the buyer to every seller and the seller to every buyer, the CCP ensures that trades are completed even if one party defaults.
* Elimination of Other Options:
* A: CCP does not guarantee no default but mitigates its impact.
* C: Market making involves liquidity provision, not CCP's role.
* D: CCP does not provide funding but manages trade clearing.
References:
* ICWIM Module 5: Explanation of trade clearing mechanisms and the CCP's role.

NEW QUESTION # 176
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