CISI Investment Operations Certificate

دورة CISI لإدارة وكالة التحويل والرقابة عليها

تحضير لاختبار وكالة التحويل وفق الإصدار 3، مع العناصر الثمانية وصيغة 100 سؤال خلال 120 دقيقة.

400 سؤالاً تدريبياً ملخصات تفصيلية محاكاة للاختبار الفعلي

تمت مراجعة معلومات منهج الدورة لعام 2026. يُرجى دائماً التحقق من أحدث منهج رسمي وتحديثات المرشحين لدى الجهة المانحة قبل حجز الامتحان أو التقدم له.

كل ما تتضمنه الدورة

5 اختبارات تجريبية × 100 سؤالاً · 400 سؤالاً فريداً · 500 موضع سؤال إجمالاً · محاولات غير محدودة
التعلّم المركّز · مواضيع الاختبار والأخطاء الشائعة والفخاخ والأرقام المهمة
بطاقات مراجعة ممتعة وفعّالة
252 مرجعاً: 212 قاعدة و16 صيغة و16 مثالاً محلولاً و8 تنبيهات للاختبار.
محلل أداء وموجّه ذكي يحدد نقاط ضعفك
وضع الدراسة · تعلّم أثناء التدريب
دردشة ذكية مدرّبة خصيصاً على هذا الامتحان
بيانات مصقولة يومياً بملاحظات المجتمع
محتوى حديث ومدقق الدقة

تضم الدورة ثمانية فصول باللغة الإنجليزية، و400 سؤال أصلي في أربعة امتحانات أساسية، وامتحانًا خامسًا مختلطًا من 100 سؤال. وتشمل 228 بطاقة تعليمية و252 مرجع مراجعة و16 مثالًا حسابيًا محلولًا ومدرسًا بالذكاء الاصطناعي.

المزايا الرئيسية

Transfer-agency framework

Understand the roles of transfer agents, depositaries, custodians, fund accountants and outsourced providers.

✓ TA responsibilities
✓ Fund-accounting links
✓ Outsourcing and offshoring

Operational depth

Prioritise the 42-question operations element covering the daily TA control environment.

✓ AML and KYC
✓ Registration and settlement
✓ Cash, income and reporting

Compliance and oversight

Connect products and investor servicing with regulation, financial crime and three-lines oversight.

✓ Regulatory framework
✓ Financial-crime controls
✓ Compliance monitoring

المنهج الدراسي

الوحدة 1: The Transfer Agency (TA) Framework 18% من وزن المنهج

Transfer agents, depositaries, trustees, custody, fund accounting, offshoring and outsourcing.

• Transfer agencies
• Custody and fund accounting
• Sourcing models

الوحدة 2: The Regulatory Framework 5% من وزن المنهج

International standards, UK regulation and investor communications relevant to transfer agency.

• International standards
• UK regulation
• Investor communications

الوحدة 3: Products 12% من وزن المنهج

Collective investments, unit trusts, OEICs, investment trusts and wrappers.

• Collective investments
• Fund structures
• Wrappers

الوحدة 4: Managing the Risk of Financial Crime 9% من وزن المنهج

Financial-crime risks, controls, cyber risk and practical implications for transfer agents.

• Financial crime
• Control framework
• Cyber risk

الوحدة 5: Managing TA Operations 42% من وزن المنهج

AML/KYC, CASS, registration, settlement, corporate actions, order flow, title, cash, income and reporting.

• Investor records and settlement
• Cash and income
• Operational reporting

الوحدة 6: Distribution, Front and Ongoing Charges 3% من وزن المنهج

Platforms, agency commission and charging structures.

• Platforms
• Commission
• Charges

الوحدة 7: Customer and Investor Relations 7% من وزن المنهج

Onboarding, customer service, communications and complaints.

• Onboarding
• Customer service
• Complaints

الوحدة 8: Compliance and Oversight 4% من وزن المنهج

Three lines of defence, responsibilities, monitoring programmes and reporting.

• Oversight
• Compliance monitoring
• Roles and accountability

الأسئلة الشائعة

The unit is assessed through 100 multiple-choice questions in 120 minutes.

The course follows Version 3, applicable from 11 August 2025 to 10 November 2026, subject to any later official CISI update.

Managing TA Operations accounts for 42 of the 100 questions. The other seven elements remain examinable and are all represented in every full mock and the learning materials.

Yes. The course includes 400 original questions in four primary 100-question papers. A fifth mixed paper reuses 25 questions from each primary paper. All five use the official syllabus proportions and include answer explanations.

نعم! يمكنك اختبار معلوماتك من خلال اختبار دورة CISI لإدارة وكالة التحويل والرقابة عليها التجريبي المجاني أدناه، ويضم 15 سؤالاً من موضوع واحد محدد في المنهج مع الشروحات. هذه ليست محاكاة كاملة للامتحان ولا تقييماً شاملاً للجاهزية.

معاينة تفاعلية

أسئلة نموذجية وممارسة مجانية

جرب 15 سؤالاً من Managing TA Operations

تعرض هذه المعاينة جزءًا واحدًا من الدورة. جرب هذا الاختبار القصير للموضوع، ثم فتح الدورة الكاملة لتحصل على اختبارات محاكاة شاملة وتغطية كاملة.

اختبار سريع

Managing TA Operations

السؤال 1 من 15

Which combination most directly informs an investor risk rating?

1 / 15

بطاقات استذكار

البطاقة 1 من 1Number Recall

السؤال

How do you calculate lifetime isa contribution bonus? Show the formula and a worked example.

انقر للقلب ورؤية الإجابة

التعلّم المركّز

المواضيع الهامة للاختبار10

1.1.1: In-house and third-party administration
1.1.2: Segregation of duties
1.1.3: The contractual client
1.1.3, 1.1.4: The investor servicing lifecycle
1.1.4, 1.1.5: Retail, aggregated and institutional records
1.1.4, 1.1.5: Operational counterparties
1.2.1, 1.2.2: Depositary and trustee appointment
1.2.1, 1.2.2, 1.2.3: Oversight of delegated administration
1.2.1, 1.2.2, 1.2.3: Depositary reporting and capital
1.3.7: Custody and subcustodian selection

الأخطاء الشائعة لتجنبها3

فخاخ الامتحان4

الأرقام المهمة8

Depositary reporting and capital: The source requires at least £4 million gross capital and a monthly FCA report summarising FUND or COLL breaches noticed during the preceding month. Material breaches of COLL 6.3 must be reported immediately; the monthly report is not permission to delay material notifications. The trustee or depositary contributes to the scheme’s annual report and can ultimately replace an AFM that is not acting in holders’ interests.
Legal capacity and joint holdings: The register accepts legally recognised persons with contractual capacity, including individuals and corporate bodies. Up to four names can normally be registered on one holding. Ordinary partnerships, clubs and descriptions such as “the trustees of” are generally unsuitable; the source recognises registered limited partnerships and certain statutory corporate bodies. An adult may hold for a child, with re-registration usually possible at age 18.
Designations and authority to deal: A designation is an administrative identifier, normally limited to eight alphanumeric characters. It does not create a new registered owner. Names should not be used to imply a trust. Only registered holders can ordinarily instruct dealings: a change of trustees under a private trust does not by itself amend the fund register. Existing registered holders normally sign the stock transfer form needed to register their successors.
Electronic re-registration through TeX: TeX is the industry exchange supporting electronic transfers of wrappers and fund units or shares. The source describes a five-working-day transfer objective, supported by standard agreements, liability arrangements, service levels, dispute procedures and straight-through messaging. Moving between nominees can require re-registration even when beneficial ownership is unchanged. A provider change is not necessarily a sale of the investments.
Taxable income after allowable expenses: The source applies 20% to taxable fund revenue after allowable expenses. Taxable receipts can include bond interest, bank interest and specified derivative revenue. Expenses may be offset; excess expenses are carried into the following period instead of generating a negative tax bill. The fund’s own tax calculation is distinct from the investor’s personal tax treatment. Preserve the taxable-income and expense roles when applying the calculation.
Tax = max(0, taxable revenue − allowable expenses) × applicable fund tax rate. Taxable revenue £150,000 less allowable expenses £30,000 = £120,000. Apply the syllabus fund rate of 20%. Result: 24,000.00 GBP. Tax is £24,000. Excess expenses do not produce a negative tax bill; carry-forward treatment is separate.
Adjusted price = unswung single price × (1 + upward adjustment rate). An unswung £2.00 single price is adjusted upwards by 0.5%: £2.00 × 1.005. Result: 2.01 GBP per unit. Both buyers and sellers deal at £2.01 at that valuation point. A downward adjustment uses subtraction.
Levy = affected deal amount × disclosed levy rate. An affected £200,000 transaction carries a disclosed 0.25% levy: £200,000 × 0.0025. Result: 500.00 GBP. The £500 belongs to the fund. It is not AFM profit and does not change all other investors’ prices.

Chapter 1: The Transfer Agency (TA) Framework

A transfer agent connects an investor’s instructions, the legal register, fund dealing and cash settlement. Start by identifying the parties: the AFM appoints the administrator, the depositary or trustee safeguards and oversees, the custodian maintains assets, and fund accounting produces valuations. These roles interact but are not interchangeable. Follow an instruction from authentication through registration, pricing, cash and reporting, and identify which party owns each decision. An outsourced operating model changes delivery arrangements without transferring the appointing firm’s accountability.

In-house and third-party administration (LO 1.1.1)

An in-house TA belongs to the fund manager or its group. A third-party administrator operates outside the fund manager’s direct control…

افتح كل محتوى التعلّم المركّز

اطّلع على مناطق الاختبار والأخطاء الشائعة وفخاخ الامتحان والأرقام المهمة في جميع الفصول.

أدوات مذاكرة متكيّفة

ركّز على نقاط الضعف، وتعلّم مع التغذية الراجعة، ثم انتقل إلى ظروف الامتحان.

وضعا المذاكرة

تعلّم أولاً، ثم اختبر جاهزيتك.

تعلّم مع التغذية الراجعة، ثم انتقل إلى ظروف الامتحان.

وضع الدراسة

تصحيح وشرح فوري

شاهد الإجابة والشرح بعد كل اختيار.

وضع الامتحان

محاكاة واقعية للامتحان

استخدم المؤقت وأبقِ الإجابات مخفية، ثم راجع نتيجتك.

لمن هذه الدورة؟

✓ Transfer-agency administration professionals

✓ Operations, compliance and audit staff supporting fund administration

✓ Fund managers overseeing outsourced transfer-agency services