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CISI Investment Operations Certificate
CISI Technology in Investment Management Exam Preparation (UK)
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. Always check the awarding body’s latest official syllabus and candidate updates before booking or sitting your exam.
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
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
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Exactly what I needed
I was struggling with some of the more confusing concepts, but the mock exams and flashcards here broke it down perfectly. The explanations really clarify why an answer is wrong.
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Solid practice questions
Solid question bank that covers all the tricky parts of the syllabus. Better than just reading the textbook on my own.
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Solid practice questions
Solid question bank that covers all the tricky parts of the syllabus. Better than just reading the textbook on my own.
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Student review
The questions are challenging, which made the real IFQ exam feel easy.
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 chapter study tools.
Exam Preview
Chapter 8: Technology Management
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
- 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
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…
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Open every chapter’s key areas, pitfalls, exam traps and key numbers.
Adaptive study tools
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Practice modes
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Preparation Package at a Glance
| Feature | Exams Academy | Details |
|---|---|---|
| Access Period | Lifetime Access | One-time enrollment with no recurring fee |
| Practice Exams | Unlimited Retakes | Five 50-question papers, 60 minutes each |
| Study Support | Instant 24/7 AI Tutor | Self-service AI support; live instructor support is not included |
| Cost | $151 (One-Time) | One-time payment with no recurring subscription |
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 topic; the full course provides complete mock exams and syllabus coverage.
No. For UK regulated activities, the firm must map the role to the FCA Training and Competence sourcebook and its appropriate-qualification tables. A CISI course title alone does not establish authorisation for every activity. Confirm the requirement with the employer and regulator before booking.
Use the official CISI booking flow to check remote-invigilation or test-centre availability for CISI Technology in Investment Management. Confirm the current workbook edition and read Candidate Updates before booking.
Exams Academy checkout is displayed in US dollars and the card provider converts it to GBP. The official CISI exam and required workbook are booked and paid for separately at the current CISI price.
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
Exam Format & Details
| Assessment | Multiple-choice examination |
| Duration | 60 Minutes |
| Pass mark | At least 35 correct answers out of 50 |
| Level | CISI Level 3 |
| Recommended Study Time | 80 hours |
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.
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
Preparation centre
CISI Technology in Investment Management Exam Guides
Use these connected guides for the syllabus, exam format, booking and revision strategy.
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CISI Technology in Investment Management
Course Features
🇬🇧 Local market guide
CISI Technology in Investment Management in the United Kingdom: pathway, booking and careers
Review how CISI Technology in Investment Management connects to regulation, qualification pathways, booking, currency and careers in the United Kingdom before paying the official exam fee.
Regulator and qualification pathway
For UK regulated activities, the firm must map the role to the FCA Training and Competence sourcebook and its appropriate-qualification tables. A CISI course title alone does not establish authorisation for every activity.
Financial Conduct AuthorityBooking and official examination
Use the official CISI booking flow to check remote-invigilation or test-centre availability for CISI Technology in Investment Management. Confirm the current workbook edition and read Candidate Updates before booking.
Find a CISI test centreCareer and employer context
Match the course syllabus to the knowledge needed for your intended role. UK regulated activities may require a particular qualification or combination of units; confirm the requirements with your employer.
Price and currency
Exams Academy checkout is displayed in US dollars and the card provider converts it to GBP. The official CISI exam and required workbook are booked and paid for separately at the current CISI price.
Market-specific reading
Understand the pathway before booking
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CISI Technology in Investment Management
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