CISI Investment Operations Certificate

CISI Technology in Investment Management

Official CISI Accredited Training Partner

Exam preparation for the CISI Level 3 Award in Technology in Investment Management, with ten chapter summaries, worked calculations and five timed practice exams.

250 Practice Questions Detailed Study Notes Realistic Mock Exams

Course syllabus information reviewed for 2026.

Exactly what is included

250 practice questions across 5 mock exams · unlimited retakes
Focus Learn · key areas, pitfalls, exam traps & key numbers
Flashcards · fun, fast and effective recall
Reference sheet with 12 worked calculations
AI Analyzer & Mentor · pinpoints your weak areas
Study Mode Exams · learn while you train
AI Chat trained specifically for this exam
Study material organised by syllabus

Understand how technology supports the investment lifecycle from trade capture and pre-settlement through settlement, financial control and operational management. The course teaches the syllabus across ten official elements, including regulation, data, automation, resilience, business change, sourcing and vendor oversight.

Key Benefits

End-to-end trade technology

Connect investment decisions with capture, matching, settlement, reconciliation and control systems.

✓ Trade capture
✓ Pre-settlement
✓ Settlement and control

Technology management context

Review service management, resilience, security, infrastructure and operational controls.

✓ Operational resilience
✓ Information security
✓ Service management

Change and sourcing

Understand delivery approaches, testing, procurement, vendor oversight and outsourcing risk.

✓ Business change
✓ Vendor selection
✓ Outsourcing and exit planning

Syllabus

Module 1: Technology in Investment Management 8% syllabus weight

Industry participants, instruments, automation and the criticality of data management.

• Sector participants
• Trade elements
• Automation and data

Module 2: The Regulatory Framework 12% syllabus weight

Regulation, data protection and the technology implications of compliance requirements.

• Regulatory framework
• Data protection
• Technology-enabled compliance

Module 3: Technology and the Functional Flow of Financial Instruments 6% syllabus weight

Venues, clearing, repositories, market data and financial-market connectivity.

• Trading venues
• Central counterparties
• Information sources

Module 4: The Role of Technology in Trade Capture 8% syllabus weight

Decision support, orders, compliance, execution, algorithms, self-service and capture controls.

• Order flow
• Algorithmic trading
• Trade-capture controls

Module 5: The Role of Technology in the Pre-Settlement Phase 10% syllabus weight

Reference data, settlement instructions, matching and regulatory/client reporting.

• Reference data
• Matching
• Reporting

Module 6: The Role of Technology in the Settlement and Post-Settlement Phases 10% syllabus weight

Instructions, funding, standards, settlement, reconciliation and post-trade compliance.

• Settlement systems
• SWIFT and messaging
• Reconciliation

Module 7: The Impact of Technology on Financial Control 10% syllabus weight

Financial control functions, ledgers, stock records and system interfaces.

• General ledger
• Stock records
• Accounting interfaces

Module 8: Technology Management 16% syllabus weight

Roles, infrastructure, service delivery, resilience, information security and operational oversight.

• Service management
• Infrastructure
• Security and resilience

Module 9: Managing Business Change 12% syllabus weight

Change governance, delivery methods, requirements, testing, implementation and benefits.

• Project methods
• Testing
• Implementation

Module 10: Technology Services Procurement 8% syllabus weight

Procurement, sourcing models, vendor selection, contracts, oversight and exit planning.

• Procurement
• Outsourcing
• Vendor management

Student Reviews

4.7

★★★★★

Based on2272reviews

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Recent Reviews

Feedback shared by learners across CISI Academy courses.

Sofia S.

· Jul 31, 2026

★

CISI Academy learner feedback

Passed on my first attempt

The material covers the core topics exceptionally well. It's much easier to digest than the dry official workbook. Used it daily on my commute and passed my exam.

Bandar F.

· Jan 12, 2023

★

CISI Academy learner feedback

Clear rules explanation

The rules for mandatory takeovers are explained very clearly. It helped me focus my revision on what counts.

Ahmad K.

· Jun 12, 2026

★

CISI Academy learner feedback

Student review

Passed my IFQ on the first attempt thanks to this official prep.

Mia L.

· Aug 2, 2026

★

CISI Academy learner feedback

Passed with confidence

Helped a lot to clear my doubts and gain more confidence before the actual exam day. The progress tracker kept me accountable.

Nasser Y.

· Jun 12, 2026

★

CISI Academy learner feedback

Student review

Excellent structure and coverage of the CISI IFQ syllabus.

Maha S.

· Sep 15, 2025

★

CISI Academy learner feedback

النسخة العربية ممتازة

النسخة العربية من لوائح السوق المالية السعودية عالية الجودة، وكانت مفيدة جداً لفريقي في الرياض.

Frequently Asked Questions

The assessment contains 50 multiple-choice questions and lasts 60 minutes.

This page follows Version 13, applicable to exams from 11 May 2026 to 10 May 2028.

Yes. CISI presents Technology in Investment Management as a stand-alone Level 3 award and as a technical-unit option within the Investment Operations Certificate.

The course includes 250 practice questions across five timed papers of 50 questions each. You also receive ten chapter summaries, 177 flashcards and 199 references including 12 worked calculations.

Yes! Test your knowledge and review detailed explanations with the free CISI Technology in Investment Management Mock Exam Preview below. It contains 15 exam-style questions from one named syllabus topic; the full course provides complete mock exams and syllabus coverage.

Interactive preview

Free CISI Technology in Investment Management Practice Questions & Exam Preview

Try 15 CISI Technology in Investment Management practice questions from Chapter 8: Technology Management

Practice CISI Technology in Investment Management exam questions with answers and explanations. The full course includes 5 mock exams and complete syllabus coverage.

Exam Preview

Chapter 8: Technology Management

Question 1 of 15

Who typically defines database structures, performance standards and recovery arrangements?

1 / 15

Flashcards

Card 1 of 10Chapter 1

Question

How do asset owners, fund managers and custodians differ?

Tap to reveal answer

Focus Learn

Key Examinable Areas5

1.1.1: Know the role of the following participants within the financial services sector: • retail banks and building societies • investment banks • asset owners • fund managers • wealth managers • platforms • financial advisers • robo -advisors • custodians • third-party administrators (TPAs) • trade venues
1.2.1: Know the elements of a secondary market equity trade
1.3.1: Know the elements of a secondary market bond trade
1.4.1: Understand the importance of automation
1.5.1: Understand the criticality of data management: • accuracy • timeliness • security

Common Pitfalls to Avoid3

Exam Traps4

Key Numbers4

Chapter 1: Technology in Investment Management

How this chapter fits the investment lifecycle

Separate who owns assets, who makes investment decisions and who safeguards holdings. Read price units and the buyer or seller perspective before calculating money amounts. Keep intended value date separate from actual delivery, even for a correctly priced trade.

Industry participants

Retail banks take deposits, lend and provide payment services; building societies are mutual organisations owned by members. Investment banks support capital raising, corporate finance and securities dealing. Asset owners supply the capital; fund managers make portfolio decisions on their behalf. Wealth managers serve private clients through advice, discretionary management or execution-only services. Platforms consolidate investments, orders, income an…

Unlock all Focus Learn

Open every chapter’s key areas, pitfalls, exam traps and key numbers.

Adaptive study tools

Focus weak topics, learn with feedback, then switch to exam conditions.

Practice modes

Learn first. Then prove you’re ready.

Learn with feedback, then switch to exam conditions.

Study Mode

Instant feedback & explanations

See the answer and explanation after each choice.

Exam Mode

Realistic exam simulation

Use the timer, keep answers hidden, then review your result.

Who Is This For?

✓ Technology professionals entering investment management

✓ Operations and change staff working with investment systems

✓ Candidates taking TIM as a stand-alone award or IOC technical unit

★★★★★ 4.7 (2272 CISI Academy reviews)