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CISI ICWIM Exam Syllabus Topics:

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

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CISI International Certificate in Wealth & Investment Management Sample Questions (Q64-Q69):

NEW QUESTION # 64
Which type of investment is associated with providing finance to growing companies with the objective of exiting via a profitable stock market listing?

Answer: C

Explanation:
* Private Equity and Growing Companies:
* Private equity involves investing in privately-held companies with the goal of increasing their value and exiting through a stock market listing (IPO) or sale.
* This investment type targets growth-stage businesses requiring significant capital.
* Elimination of Other Options:
* A: Convertible bonds are debt instruments, not equity investments.
* B: Preference shares provide fixed dividends and are not growth-oriented investments.
* D: Structured products are financial instruments tied to underlying assets and not specific to growth financing.
References:
* ICWIM Module 3: Coverage of private equity investments and their objectives.


NEW QUESTION # 65
A quote-driven system:

Answer: C

Explanation:
A quote-driven market is one where liquidity is provided by dealers or market makers who continuously quote bid and offer prices at which they are willing to buy and sell. Investors trade against those quoted prices rather than primarily matching with other investors' orders in an order book. The key advantage is immediacy:
market makers stand ready to transact, which can be particularly important in less liquid securities. In contrast, an order-driven system relies on an electronic order book and matches buy and sell orders, typically using price and time priority, and liquidity comes from other market participants placing limit orders. Because the defining feature of quote-driven trading is dealer-provided quotations and inventories, the best description is that it benefits from liquidity provided by market makers. Option A is more characteristic of price-time priority in order books. Option B describes order-driven markets. Option D is incomplete and more aligned with matching engines, whereas quote-driven execution is primarily against dealer quotes rather than direct order matching.


NEW QUESTION # 66
What term is used to describe a situation where clients give investment instructions to a firm without being given advice to do so?

Answer: B

Explanation:
Execution-only trading refers to transactions where the firm executes trades without providing financial advice.
* Why is Option B Correct?
* The client makes all investment decisions independently.
* The financial firm does not assess suitability or risk tolerance.
* Common in DIY investing platforms (e.g., stockbrokers, online trading apps).
* Why Not Other Options?
* A (Discretionary) # The firm manages investments without client approval for each trade.
* C (Non-discretionary) # The firm provides advice, but the client makes the final decision.
* D (Robo-advice) # Automated investment platforms provide algorithm-based recommendations.
# Reference: FCA Conduct of Business Rules (COBS 10), CISI Wealth & Investment Management.


NEW QUESTION # 67
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: D

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 # 68
Why does prospect theory suggest that investors are inconsistent in their attitude to risk?

Answer: A

Explanation:
Prospect theory explains that investors evaluate outcomes relative to a reference point, often the purchase price or a recent portfolio value, rather than focusing solely on final wealth. The value function is typically described as loss averse, meaning losses hurt more than equivalent gains feel good. This creates inconsistent risk attitudes: investors often become risk seeking when facing losses and risk averse when sitting on gains. A practical expression of this is the disposition effect: investors tend to hold losing positions too long to avoid crystallising a loss, while they take profits too quickly to lock in gains and feel the satisfaction of being right.
That behaviour is inconsistent because the risk decision changes depending on whether the investor is in a gain or loss position, even when the underlying prospects of the investment have not improved. CISI-style questions usually test this exact pattern: reluctance to realise losses combined with a tendency to realise gains early, driven by loss aversion and reference dependence.


NEW QUESTION # 69
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