CISI Platforms (IOC) Practice Questions - CISI Platforms, Wealth Management And Service Providers (Investment Operations Certificate Unit) Exam

What is the key distinction between an 'adviser platform' and a 'direct-to-consumer (D2C)' platform?

Adviser platforms only hold cash, D2C platforms only hold equities There is no difference; the terms are interchangeable Adviser platforms are unregulated, D2C platforms are regulated Adviser platforms are accessed through a financial adviser, while D2C platforms are used directly by retail investors without an adviser

Correct Answer:

Adviser platforms are accessed through a financial adviser, while D2C platforms are used directly by retail investors without an adviser

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