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CISI ICWIM Exam Syllabus Topics:
| Section | Objectives |
|---|---|
| Topic 1: Wealth Management Principles | - Risk and return concepts - Portfolio construction basics - Client investment needs and objectives |
| Topic 2: Investment and Financial Markets | - Structure of financial markets - Market participants and their roles - Asset classes and investment products |
| Topic 3: Investment Products and Suitability | - Suitability and client profiling - Equities, bonds, and collective investments - Taxation and charges overview |
| Topic 4: Regulation and Ethics | - Regulatory environment in financial services - Conduct of business and compliance principles - Ethical standards in investment advice |
CISI International Certificate in Wealth & Investment Management Sample Questions:
Question #1
An execution-only sale usually means a sale where there is an absence of:
A. Advice
B. Charges
C. Guarantee
D. Product
Question #2
A firm decides that it would be inappropriate to make derivative recommendations to a particular client. It is likely that the client has been categorised as:
A. A retail client
B. An eligible counterparty
C. A professional
D. A private investor
Question #3
An economy with two consecutive quarters of negative growth is considered to be in what phase of an economic cycle?
A. Recession
B. Inflationary
C. Slump
D. Depression
Question #4
The first stage in the investment planning process is to:
A. Gather in client data
B. Create an action plan
C. Provide the client with information
D. Establish a relationship with the client
Question #5
A client is wishing to retire in 10 years time. It has been determined that they require €30,000 per year to live off and their pension will be €20,000 per year. The client is expected to earn 4% per year on investments and inflation is expected to average 2% over the next 10 years. What lump sum does the client require to fund their retirement?
A. €609,497
B. €304,749
C. €291,425
D. €250,000
Solutions:
| Question #1 Correct Answer: A | Question #2 Correct Answer: A | Question #3 Correct Answer: A | Question #4 Correct Answer: D | Question #5 Correct Answer: B |


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