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Question 1
Within the financial services sector, which type of participant typically holds clients' securities and cash for safekeeping and administers settlement, income collection and corporate actions on their behalf?
Correct Answer:
A custodian
Question 2
A robo adviser is best described as a participant that:
Correct Answer:
Provides automated, algorithm-based investment advice and portfolio management with limited human intervention
Question 3
A third party administrator (TPA) in fund operations typically provides which service?
Correct Answer:
Outsourced fund accounting, NAV calculation and transfer agency for fund managers
Question 4
In a secondary market equity trade, which of the following is an essential element captured at the point of execution?
Correct Answer:
The quantity, price and trade date of the shares dealt
Question 5
Compared with a secondary market equity trade, a secondary market bond trade additionally requires the system to capture which element to settle the correct cash amount?
Correct Answer:
Accrued interest from the last coupon date to settlement
Question 1
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About this Exam

Prepare with the CISI Technology in Investment Management Practice Questions - CISI Technology in Investment Management (IOC unit) Exam practice quiz. This question bank includes 100 questions covering technology, settlement, trade, data, and typically. Use it to review important concepts, identify knowledge gaps, and build confidence for the related exam, course, or assessment.

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CISI Technology in Investment Management Practice Questions - CISI Technology in Investment Management (IOC unit) Exam

This practice set contains 100 questions from the matching question bank and focuses on technology, settlement, trade, data, and typically. Work through each question carefully, review the provided solutions, and revisit topics that need more study before your next attempt.

This is an independent study resource intended for practice and review; it is not an official examination or an endorsement by any organization named in the title.

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