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CISI International Certificate in Wealth & Investment Management Sample Questions (Q20-Q25):

NEW QUESTION # 20
Which type of corporate action can only occur if a resolution is passed to forgo pre-emption rights?

A. Placing
B. Share buyback
C. Stock split
D. Warrant exercise

Answer: A

Explanation:
A placing is a method of issuing new shares to specific investors rather than offering them to existing shareholders. For a placing to proceed, existing shareholders' pre-emption rights (the right to buy new shares before others) must be waived, which requires a resolution to be passed.

NEW QUESTION # 21
Which of the following is an example of a mandatory corporate action with options?

A. Rights issue
B. Share buyback
C. Consolidation
D. Takeover acceptance

Answer: A

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

NEW QUESTION # 22
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?

A. Place orders as they are received from the clients
B. Openly disclose all orders received to the clients
C. Process the sell orders before the buy orders
D. Withdraw their services for the transaction

Answer: A

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 # 23
If someone in a fiduciary position has personal or professional interests that compete with their duty to act in the client's best interest, this is called:

A. Discretionary management
B. A regulatory breach
C. Full disclosure
D. A conflict of interest

Answer: D

Explanation:
* Conflict of Interest Definition:
* A fiduciary position requires prioritizing the client's best interest. When personal or professional interests compete with this duty, it constitutes a conflict of interest.
* Such conflicts can undermine the trust and integrity of the fiduciary relationship.
* Elimination of Other Options:
* A: Discretionary management is unrelated to fiduciary conflicts.
* B: A regulatory breach may occur if the conflict is not disclosed but is not inherently the conflict itself.
* C: Full disclosure is a way to manage conflicts, not the conflict itself.
References:
* ICWIM Module 5: Coverage of fiduciary responsibilities and managing conflicts of interest.

NEW QUESTION # 24
For a key person protection policy, a company will:

A. Seek to be covered for an undefined sum of money
B. Need to establish an insurable interest
C. Be insured against staff moving to a competitor
D. Be required to pay ever-increasing premiums

Answer: B

Explanation:
Key person protection is a type of business insurance where a company takes out a life insurance policy on a key employee, such as a CEO or top executive.
* Why is Option D Correct?
* An insurable interest must exist # The company must demonstrate financial loss if the key person dies or becomes incapacitated.
* The policy protects against lost revenue, recruitment costs, and operational disruption.
* Why Not Other Options?
* A (Ever-increasing premiums) # Premiums may increase, but this is not a requirement.
* B (Protection against staff leaving) # Key person insurance does not cover resignations.
* C (Undefined sum) # The insured amount is calculated based on business impact.
# Reference: FCA Business Protection Regulations, CISI Wealth & Investment Management.

NEW QUESTION # 25
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Get Useful Instant ICWIM Access and Pass Exam in First Attempt

100% Pass CISI - ICWIM - Latest Instant International Certificate in Wealth & Investment Management Access

CISI International Certificate in Wealth & Investment Management Sample Questions (Q20-Q25):

Upgrade Your Professional Career by Obtaining the CISI ICWIM Certification

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