CISI Introduction to Securities and Investment case studies
CISI Introduction to Securities and Investment · Put your knowledge to work in context.
The CISI Introduction to Securities and Investment is a professional qualification offered by the Chartered Institute for Securities & Investment (CISI), a financial services professional body. It is designed for individuals starting careers in financial services or seeking a broad foundation in securities and investment. The exam covers eight domains: Financial Services Industry and Regulation (20%), Economic Environment (10%), Equities (15%), Bonds (15%), Derivatives (10%), Investment Funds and Collective Investment Schemes (10%), Financial Planning and Advice (10%), and Client Services and Ethics (10%). The exam is multiple choice and can be booked at a convenient time and location. The CISI Introduction to Securities and Investment case studies are 5 cases and about 2,724 words.
1Promoting a Fund to a Mixed Client List
Marlowe Park Wealth Ltd is an FCA-authorised independent adviser with 22 staff. It plans to email a four-page brochure for a new absolute-return fund to 240 contacts: 55 UK retail clients; 135 UK clients who have elected professional status after signing consent, all with portfolios above £500,000; 30 overseas clients in Jersey; and 20 UK charities.
589 words, about 3 min2Index-Linked or Conventional Gilt for a Deficit
The trustees of the Harlow Print Pension Scheme must choose between two 12-year sterling bonds for an £85 million liability-matched portfolio. The liabilities are linked to CPI.
491 words, about 2 min3Rights Issue and the Ex-Rights Price
Ravensworth plc has 200 million ordinary shares in issue and a current share price of 480p. It reports earnings per share of 32p and a dividend per share of 18p.
539 words, about 3 min4Accrued Interest and Duration on a Corporate Bond
A client is considering buying £50,000 nominal of Kestrel Energy 5.5% 2031, a sterling corporate bond. The clean price is 96.50.
533 words, about 3 min5Switching a Long-Standing Holding: Charges, Conflicts and Suitability
Derek, aged 72, has a £220,000 ISA invested in a multi-asset fund with an ongoing charge of 0.45% and no exit charge. He takes £9,000 a year income.
572 words, about 3 min