Pass HarborFREE EXAM PREP

CISI Investment Operations flashcards

327 cards

Practice instantlyNo account requiredNo card neededNo surprise fees

Flashcard review

327 cards

CISI Investment Operations flashcards

Practice instantlyNo account requiredNo card neededNo surprise fees

All topics FC Element 1 — Introduction FC Element 2 — Economic Environment FC Element 3 — Equities FC Element 4 — Bonds FC Element 5 — Other Markets and Investments FC Element 6 — Derivatives FC Element 7 — Investment Funds FC Element 8 — Financial Services Regulation FC Element 9 — Taxation, Investment Wrappers and Trusts FC Element 10 — Other Financial Products FC Element 11 — Financial Advice UKFR Element 1 — The Regulatory Environment UKFR Element 2 — Conduct of Business and Client Assets UKFR Element 3 — Enhancing Market Integrity UKFR Element 4 — Complaints and Redress AS Element 1 — Life Cycle of an Event AS Element 2 — Mandatory Events AS Element 3 — Voluntary Events AS Element 4 — Corporate Governance AS Element 5 — Tax AS Element 6 — Participants AS Element 7 — Legal and Compliance AS Element 8 — Risk and Controls CASS Element 1 — Fundamentals of Client Money and Assets CASS Element 2 — Client Money Fundamentals (CASS 7)CASS Element 3 — Controls over Client Money (CASS 7)CASS Element 4 — Safe Custody Fundamentals (CASS 6)CASS Element 5 — Governance and Oversight CASS Element 6 — When Problems Arise CASS Element 7 — The Client CISA Element 1 — Collective Investment Schemes CISA Element 2 — The Regulatory Framework CISA Element 3 — Key Roles and Responsibilities CISA Element 4 — Diversification and Investment Limits CISA Element 5 — Valuations and Pricing CISA Element 6 — Unit Dealing and the Register CISA Element 7 — Launching a New CIS CISA Element 8 — Unit/Shareholder Rights CISA Element 9 — Income CISA Element 10 — Taxation COMB Element 1 — The Background and Nature of Financial Crime COMB Element 2 — Money Laundering COMB Element 3 — Terrorist Financing COMB Element 4 — Bribery and Corruption COMB Element 5 — Fraud and Market Abuse COMB Element 6 — Tax Evasion COMB Element 7 — Economic Sanctions COMB Element 8 — Financial Crime Risk Management DER3 Element 1 — Introduction to Derivatives DER3 Element 2 — Underlying Markets DER3 Element 3 — Market Structure DER3 Element 4 — Principles of Pricing and Valuation DER3 Element 5 — OTC Derivatives DER3 Element 6 — Principles of Clearing and Margin DER3 Element 7 — Delivery and Settlement DER3 Element 8 — Trading, Hedging and Investment Strategies DER3 Element 9 — Regulatory Requirements GFC Element 1 — The International Regulatory Environment GFC Element 2 — The Compliance Function GFC Element 3 — Managing the Risk of Financial Crime GFC Element 4 — Ethics, Integrity and Fairness GFC Element 5 — Governance, Risk Management and Compliance GSO Element 1 — Main Industry Participants GSO Element 2 — Settlement Characteristics GSO Element 3 — Other Investor Services GSO Element 4 — Aspects of Taxation GSO Element 5 — Risk OR Element 1 — Risk Basics OR Element 2 — Other Major Risks OR Element 3 — The Nature of Operational Risk OR Element 4 — The Causes and Impacts of Operational Risk OR Element 5 — Operational Risks Arising in the Trade Cycle OR Element 6 — The Support and Control Functions OR Element 7 — Operational Risk in the Regulatory Environment PLATS Element 1 — Platform Assets PLATS Element 2 — Platform Wrappers PLATS Element 3 — The Market and the Platform Service Provider PLATS Element 4 — Transactions and Ownership PLATS Element 5 — Asset Servicing PLATS Element 6 — Regulatory Framework PLATS Element 7 — Taxation RISK Element 1 — Principles of Risk Management RISK Element 2 — International Risk Regulation RISK Element 3 — Operational Risk RISK Element 4 — Credit Risk RISK Element 5 — Market Risk RISK Element 6 — Investment Risk RISK Element 7 — Liquidity Risk RISK Element 8 — Model Risk RISK Element 9 — Risk Oversight and Corporate Governance RISK Element 10 — Enterprise Risk Management (ERM)TIM Element 1 — Technology in Investment Management TIM Element 2 — The Regulatory Framework TIM Element 3 — Technology and the Functional Flow of Financial Instruments TIM Element 4 — The Role of Technology in Trade Capture TIM Element 5 — The Role of Technology in the Pre-Settlement Phase TIM Element 6 — The Role of Technology in the Settlement and Post-Settlement Phases TIM Element 7 — The Impact of Technology on Financial Control TIM Element 8 — Technology Management TIM Element 9 — Managing Business Change TIM Element 10 — Technology Services Procurement TA3 Element 1 — The Transfer Agency (TA) Framework TA3 Element 2 — The Regulatory Framework TA3 Element 3 — Products TA3 Element 4 — Managing the Risk of Financial Crime TA3 Element 5 — Managing TA Operations TA3 Element 6 — Distribution, Front and Ongoing Charges TA3 Element 7 — Customer and Investor Relations TA3 Element 8 — Compliance and Oversight

Card 1 of 327

FC Element 1 — Introduction

Front

What is Pass Harbor?

Completely free exam prep for 247 UK exams.

Practice questions
Flashcards
Study guides
Mock exams

No registration
No paywall
Start instantly

“No more expensive exam prep. Quality study tools should be accessible to everyone.”