CISI Level 3 Practice Exam Part 1: 25 Questions on Investment Operations (IOC) and Global Financial Compliance
Essential preparation for financial professionals seeking CISI recognition in the UK (FCA), UAE (DFSA), Qatar (QFMA), KSA (CMA), Kuwait, Pakistan (SECP), and the US. High-probability exam questions covering core Level 3 Securities, Derivatives, and Compliance units.
ABOUT THIS VIDEO
Welcome to Part 1 of our essential CISI Level 3 Practice Exam series! This video delivers 25 challenging Multiple Choice Questions (MCQs) designed to replicate the computer-based test (CBT) environment [2]. This material is ideal for candidates sitting the Investment Operations Certificate (IOC) [3], Securities Level 3, or Corporate Finance Technical Foundations [4, 5]. Utilize the chapters below to pause, attempt the question, and review the detailed answer explanations.
KEY TOPICS COVERED (25 MCQs)
The questions cover high-weighting technical units critical for Level 3 competence, including regulatory requirements, market mechanics, and operational risk [3].
Financial Assets and Markets: Focus on Cash Deposits, Money Market Instruments, Foreign Exchange, and World Stock Markets [6]
In-depth coverage of Investment Funds: Unit Trusts, Open Ended Investment Companies (OEICs), Real Estate Investment Trusts (REITs), Exchange-Traded Funds (ETFs), and Hedge Funds [6]
Derivative Mechanics and Operational Definitions: Including concepts like Basis trade, Cabinet trade, Assignment, and the use of FLEX options [7]
Global Financial Compliance and Combating Financial Crime (covering AML/KYC standards) [3, 5]
Investment Valuation and Accounting Concepts such as Accounting Entity Concept, Accruals Concept, and the Acid Test Ratio [8]
Regulatory Frameworks governing Margin Requirements, Credit lines extended to clients, and the role of central clearing houses in reducing credit risk [7] Core Operational Functions: Asset Servicing, Client Money and Assets (CASS), and Risk in Financial Services [3]
VIDEO CHAPTERS FOR EASY REVIEW
0:00 Introduction & CISI Level 3 Overview
1:30 Question 1: Money Market Instruments
3:55 Question 2: Investment Trusts vs. OEICs
6:40 Question 3: Derivative Position Close-out Terms
9:15 Question 4: Regulatory Credit Extension Rules
... (Continue for all 25 questions, ensuring accurate timestamps)
ADVANCE YOUR CAREER
The CISI qualification demonstrates professionalism and commitment to high standards, enjoying industry-wide acceptance world-over and formal regulatory acceptance across the Middle East [9].
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