CISI Technology in Investment Management Exam Preparation
Exam preparation for the CISI Level 3 Award in Technology in Investment Management, aligned to Version 13 for exams through May 2028.
Course syllabus information reviewed for 2026. Always check the awarding body’s latest official syllabus and candidate updates before booking or sitting your exam.
Understand how technology supports the investment lifecycle from trade capture and pre-settlement through settlement, financial control and operational management. The course page maps the Version 13 syllabus across ten official elements, including regulation, data, automation, resilience, business change, sourcing and vendor oversight.
Exam Format & Details
| Assessment | Multiple-choice examination |
| Duration | 60 Minutes |
| Standard Pass Mark | 70% |
| Level | CISI Level 3 |
| Total Qualification Time | 80 hours |
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 Settlement and Post-Settlement 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
Who Is This For?
Preparation centre
CISI Technology in Investment Management Exam Guides
Use these connected guides for the syllabus, exam format, booking and revision strategy.
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.
Checkout is open while the latest Version 13 learning and question-bank content is being completed. Purchasers see the current two-hour completion notice.
CISI Technology in Investment Management
Course Features
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