CISI International Certificate in Wealth & Investment Management ICWIM Prüfungsfragen mit Lösungen:
1. What financial principle requires an adviser to gather extensive information from a client before making a recommendation?
A) Transparency of trading
B) Know Your Customer
C) Disclosure
D) Risk reduction
2. How does the role of a platform assist the work of an independent financial adviser IFA?
A) By making their services directly available to investors
B) Through the provision of discretionary management services
C) Through the use of robo-advice
D) It allows advisers to analyse a client's portfolio and take a holistic view
3. In a perfect free market, price is determined by:
A) The interaction of supply and demand curves
B) Consumers who are prepared to shop around
C) Producers manufacturing below marginal cost
D) The government
4. An investor with a liability due in eight years' time wants to purchase bonds to fund this liability. If a barbell strategy is adopted, a suitable initial portfolio would be:
A) 4 bonds with 8-year durations and 4 bonds with 10-year durations
B) 3 bonds, each with 8-year durations
C) 6 bonds, each with 10-year durations
D) 2 bonds with 6-year durations and 2 bonds with 10-year durations
5. Which of the following details used to determine the risk tolerance of a new client is best described as subjective?
A) The client's current stage of life
B) The timescale over which the client is able to invest
C) The client's preferred investment choice
D) The family commitments of the client
Fragen und Antworten:
| 1. Frage Antwort: B | 2. Frage Antwort: D | 3. Frage Antwort: A | 4. Frage Antwort: D | 5. Frage Antwort: C |
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