Platforms Wealth Management and Service Providers – Quiz 01

Last Updated: June 2024

Table of Contents

CISI – Platforms, Wealth Management and Service Providers Quiz 1 is Covered :-
Platform Assets
Overview On completion, the candidate should:
know how a platform is structured: • wrappers • assets
Assets
know the range of investment types that can be offered by platforms
understand the difference between open-ended and closed-ended collective funds
understand why insured funds differ from regulated collective investment schemes
know the difference between hard and soft closure
know the difference between deferred and queued redemptions
understand the implications for the platform and the client of fund dealing being restricted or suspended
understand why the investment range may vary between platform operators

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