Platforms Wealth Management and Service Providers – Quiz 07

Last Updated: June 2024

Table of Contents

CISI – Platforms, Wealth Management and Service Providers Quiz 7 is Covered :-
understand the role of the following in the trading process: • market makers • brokers • retail service providers
know the regulatory requirements for settlement
understand the different methods of settling investor transactions
Ownership of assets
know the requirements for the establishment, maintenance and contents of the platform’s records of asset ownership
understand who can be recorded as a holder of an investment
understand how third party interests are recorded
know the requirements for the collection of beneficial holder details
understand the different types of custody model and how they are used: • pooled • segregated • multiple nominees • investor’s own name
know the internal / external transfers that may take place
know the requirements for transfers using the TISA Exchange
understand the chain of custody

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