Updated ICWIM Dumps: International Certificate in Wealth & Investment Management - Latest CISI ICWIM Pass4sure Dumps Pdf

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CISI International Certificate in Wealth & Investment Management Sample Questions (Q75-Q80):

NEW QUESTION # 75
Which type of trading system employs market makers?

A. Order-driven
B. Quote-driven
C. Over-the-counter
D. On-exchange

Answer: B

Explanation:
A quote-driven market relies on market makers who continuously provide bid and ask prices for securities.
* Key Characteristics of Quote-Driven Markets:
* Market makers buy and sell securities from their own inventory, ensuring liquidity.
* Prices are set by market makers rather than by matching buy and sell orders.
* Common in less liquid markets (e.g., corporate bonds, some equities).
* Examples:
* The London Stock Exchange's SEAQ system operates as a quote-driven market.
* Why Not Other Options?
* A (Order-driven) # Uses an electronic order book, not market makers.
* C (On-exchange) # Both quote-driven and order-driven systems exist on exchanges.
* D (Over-the-counter) # OTC markets may have market makers, but they are not exclusively quote-driven.
# Reference: London Stock Exchange Trading Systems, CISI Wealth & Investment Management.

NEW QUESTION # 76
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. Full disclosure
B. Discretionary management
C. A regulatory breach
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 # 77
When creating a portfolio for a risk-averse client, why would you select stocks with a beta of less than one?

A. In order to produce a low-volatility portfolio
B. So that the portfolio is easier to understand
C. To produce a high-volatility portfolio
D. So that the portfolio moves in line with the market

Answer: A

Explanation:
Stocks with abeta of less than oneare less volatile than the overall market. Including such stocks in a portfolio helps reduce its overall volatility, aligning with the risk-averse nature of the client.
* Easier to understand (A): Simplicity is not a factor in beta selection.
* Moves in line with the market (B): A beta of less than one means the portfolio moves less than the market.
* High-volatility portfolio (D): This would involve stocks with a beta greater than one, contrary to the client's risk profile.
References:
* International Certificate in Wealth & Investment Management: Beta as a measure of systematic risk and its implications for portfolio construction.
* CAPM (Capital Asset Pricing Model) principles on beta and risk.

NEW QUESTION # 78
According to economic theory, firms maximize profit by:

A. Balancing short-run costs against increasing and diminishing returns
B. Equating marginal revenue (MR) to marginal cost (MC)
C. Reaching minimum efficient scale (MES)
D. Creating economies of scale

Answer: B

Explanation:
# Reference: Microeconomic Theory (Profit Maximization), CISI Wealth & Investment Management.

NEW QUESTION # 79
Which of the following issues is at the heart of fiduciary relationships with clients?

A. Service
B. Commission
C. Risk
D. Suitability

Answer: D

Explanation:
A fiduciary duty requires financial professionals to act in the best interest of their clients. Suitability is central to this duty.
* Why is Option D Correct?
* Firms must ensure that recommendations align with the client's risk tolerance, goals, and financial situation.
* FCA rules require advisers to demonstrate suitability before making recommendations.
* Why Not Other Options?
* A (Commission) # Fee structures matter, but fiduciary duty prioritizes suitability.
* B (Risk) # Important, but suitability includes risk profiling.
* C (Service) # Good service is necessary, but suitability is a regulatory requirement.
# Reference: FCA Handbook (Suitability Rules), CISI Wealth & Investment Management.

NEW QUESTION # 80
......

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Updated ICWIM Dumps: International Certificate in Wealth & Investment Management - Latest CISI ICWIM Pass4sure Dumps Pdf

CISI ICWIM Pass4sure Dumps Pdf, ICWIM Latest Braindumps Free

CISI International Certificate in Wealth & Investment Management Sample Questions (Q75-Q80):

Latest ICWIM Exam Dump Must Be a Great Beginning to Prepare for Your ICWIM Exam

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