ACTUAL ICWIM TESTS - ICWIM RELIABLE TEST MATERIALS

Actual ICWIM Tests - ICWIM Reliable Test Materials

Actual ICWIM Tests - ICWIM Reliable Test Materials

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Tags: Actual ICWIM Tests, ICWIM Reliable Test Materials, Valid ICWIM Exam Syllabus, Test ICWIM Simulator Fee, ICWIM Reliable Exam Tips

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CISI International Certificate in Wealth & Investment Management Sample Questions (Q91-Q96):

NEW QUESTION # 91
An investor with £900,000 of investable assets would normally be categorized as:

  • A. Very-high-net-worth
  • B. Ultra-high-net-worth
  • C. Mass affluent
  • D. High-net-worth

Answer: D

Explanation:
Investor classifications are based on financial assets, typically excluding property.
* Why is Option B Correct?
* High-net-worth individuals (HNWIs) are those with £500,000 to £1 million in investable assets.
* Mass affluent investors usually have £100,000 to £500,000.
* Why Not Other Options?
* A (Mass affluent) # Below £500,000.
* C (Very-high-net-worth) # Typically £1 million to £5 million.
* D (Ultra-high-net-worth) # £30 million+ in assets.
# Reference: FCA High-Net-Worth Client Classification, CISI Wealth & Investment Management.


NEW QUESTION # 92
Once a company reaches the point known as the minimum efficient scale, the "theory of the firm" suggests that the company should:

  • A. Increase its unit price
  • B. Accelerate its output expansion
  • C. Halt its output expansion
  • D. Decrease its unit price

Answer: D

Explanation:
* Minimum Efficient Scale:
* This is the point where a company achieves the lowest average cost per unit due to economies of scale.
* Once this level is reached, the firm can afford to lower prices to remain competitive and expand market share.
* Elimination of Other Options:
* A: Halting expansion would waste the cost advantages achieved.
* B: Accelerating output expansion could lead to diseconomies of scale.
* C: Increasing unit prices is counterintuitive at this stage.
References:
* ICWIM Module 3: Coverage of cost structures and the theory of the firm.


NEW QUESTION # 93
What financial principle requires an adviser to gather extensive information from a client before making a recommendation?

  • A. Transparency of trading
  • B. Disclosure
  • C. Know Your Customer
  • D. Risk reduction

Answer: C

Explanation:
The Know Your Customer (KYC) principle is a regulatory requirement ensuring that financial advisers gather comprehensive client information before making recommendations.
* Why KYC Is Important:
* It helps in identifying the client's financial goals, risk tolerance, and investment suitability.
* It prevents fraud and money laundering by verifying the client's identity.
* It ensures that recommendations are appropriate based on the client's circumstances.
* Regulatory Requirement:
* FCA (Financial Conduct Authority) rules require firms to follow KYC processes before providing financial services.
* MiFID II (Markets in Financial Instruments Directive) mandates thorough suitability assessments.
# Reference: FCA Handbook (COBS 9 - Suitability), CISI Wealth & Investment Management.


NEW QUESTION # 94
A fiduciary relationship normally arises between:

  • A. A head of state and its government
  • B. A husband and wife
  • C. A company and its suppliers
  • D. A lawyer and client

Answer: D

Explanation:
# Reference: CISI Code of Ethics, CFA Standards of Professional Conduct.


NEW QUESTION # 95
An execution-only sale usually means a sale where there is an absence of:

  • A. Advice
  • B. Guarantee
  • C. Charges
  • D. Product

Answer: A

Explanation:
* Understanding Execution-Only Sales:
* Execution-only sales occur when the client makes a financial transaction without receiving any advice or recommendations from the intermediary.
* The client assumes full responsibility for the decision.
* Elimination of Other Options:
* A: Charges are typically present in execution-only sales.
* C: The product is being sold; the sale cannot occur without it.
* D: Guarantees are unrelated to the advisory process.
References:
* ICWIM Module 4: Focus on financial advice models, including execution-only services.


NEW QUESTION # 96
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