7/1/25, 12:49 AM CISI Regulations
CISI REGULATIONS TEST BANK EXAM \NEWEST VERSION WITH
COMPLETE QUESTIONS AND ACCURATE DETAILED ANSWERS
\VERIFIED ANSWERS \ALREADY GRADED A+
How many days do clients get 14
to cancel an OEIC
investment (when they
receive a
cancellation notice)? (Chapter
4)
How long should MiFID client 5 years
confirmation copies be kept?
(Chapter 4)
How long should non-MiFID 3 years
client
confirmation copies be kept?
(Chapter 4)
How long should pension Indefinitely
transfer
cancellation records be kept?
(Chapter 4)
How frequently should Semi-annually
valuation statements be
provided to retail clients?
(Chapter 4)
Who has established the FCA
standard method of client
reconciliation? (Chapter
4)
If A is an agent for B but A A
is your client, who do you
consider your client?
(Chapter 4)
Does MiFID or non-MiFID MiFID
client
categorisation take
/ 1/22
,7/1/25, 12:49 AM CISI Regulations
precedence? (Chapter 4)
/ 2/22
, 7/1/25, 12:49 AM CISI Regulations
What do non-advised sales Discretionary portfolio management
relate to? (Chapter 4)
What should financial Emphasising short-term prospects
promotions with quoted
yields avoid doing? (Chapter
4)
What do 'basic advice rules' Stakeholder pension recommendations
relate to? (Chapter 4)
What is client money which Client money (even though the fees are not client money)
includes fees classed as?
(Chapter 4)
What's the maximum FSCS £75000 per person (or £85000 in CISI Mock and real life)
compensation for deposits?
(Chapter 5)
What's the maximum FSCS £50000
compensation for home
finance? (Chapter 5)
What's the maximum FSCS 90% of a claim
compensation for
insurance? (Chapter 5)
What's the maximum FSCS £50000
compensation for
investments? (Chapter 5)
Which charities are eligible Those with income under £1 million
FSCS claimants? (Chapter
5)
Which trustees are eligible Those with assets under £1 million
FSCS claimants? (Chapter 5)
Which companies or private Those with a balance sheet (or turnover) under EUR 2
individuals are eligible FSCS million (and fewer than 10 employees)
claimants? (Chapter 5)
What's the maximum £150000
compensation from FOS?
(Chapter 5)
/ 3/22
CISI REGULATIONS TEST BANK EXAM \NEWEST VERSION WITH
COMPLETE QUESTIONS AND ACCURATE DETAILED ANSWERS
\VERIFIED ANSWERS \ALREADY GRADED A+
How many days do clients get 14
to cancel an OEIC
investment (when they
receive a
cancellation notice)? (Chapter
4)
How long should MiFID client 5 years
confirmation copies be kept?
(Chapter 4)
How long should non-MiFID 3 years
client
confirmation copies be kept?
(Chapter 4)
How long should pension Indefinitely
transfer
cancellation records be kept?
(Chapter 4)
How frequently should Semi-annually
valuation statements be
provided to retail clients?
(Chapter 4)
Who has established the FCA
standard method of client
reconciliation? (Chapter
4)
If A is an agent for B but A A
is your client, who do you
consider your client?
(Chapter 4)
Does MiFID or non-MiFID MiFID
client
categorisation take
/ 1/22
,7/1/25, 12:49 AM CISI Regulations
precedence? (Chapter 4)
/ 2/22
, 7/1/25, 12:49 AM CISI Regulations
What do non-advised sales Discretionary portfolio management
relate to? (Chapter 4)
What should financial Emphasising short-term prospects
promotions with quoted
yields avoid doing? (Chapter
4)
What do 'basic advice rules' Stakeholder pension recommendations
relate to? (Chapter 4)
What is client money which Client money (even though the fees are not client money)
includes fees classed as?
(Chapter 4)
What's the maximum FSCS £75000 per person (or £85000 in CISI Mock and real life)
compensation for deposits?
(Chapter 5)
What's the maximum FSCS £50000
compensation for home
finance? (Chapter 5)
What's the maximum FSCS 90% of a claim
compensation for
insurance? (Chapter 5)
What's the maximum FSCS £50000
compensation for
investments? (Chapter 5)
Which charities are eligible Those with income under £1 million
FSCS claimants? (Chapter
5)
Which trustees are eligible Those with assets under £1 million
FSCS claimants? (Chapter 5)
Which companies or private Those with a balance sheet (or turnover) under EUR 2
individuals are eligible FSCS million (and fewer than 10 employees)
claimants? (Chapter 5)
What's the maximum £150000
compensation from FOS?
(Chapter 5)
/ 3/22
