CFP - Investment Planning (17% of the exam) - Section D.28

Types of investment risk

Systematic versus unsystematic risk, and the named risks: market, interest rate, reinvestment, inflation, business, financial, liquidity, credit, default, political, currency and regulatory. Items identify which risk a described holding or event exposes the client to.

Systematic and unsystematic risk

Practice question for this objective

Free sampleInvestment Planningmedium

Suzanne holds a portfolio spread across 60 shares in eight countries, four bond funds and a listed property fund, and she rebalances annually. She tells her planner she assumes this spread has dealt with her investment risk, and asks what she remains fully exposed to. Which risk is it?

  • ABusiness risk, arising from the variability of operating profits at the individual companies whose shares she owns across the eight countries.
  • BFinancial risk, arising from the amount of debt carried in the capital structures of the companies whose shares and bonds she owns.
  • CDefault risk, arising from the possibility that a bond issuer inside one of her four bond funds fails to pay a coupon or repay principal on time.
  • DPurchasing power risk, arising because inflation reduces the real value of returns across asset classes and holding more securities does not remove that exposure. Correct
Systematic risks such as purchasing power risk survive diversification, while unsystematic risks such as business, financial and default risk are reduced by holding many issuers. Diversification works by combining exposures whose specific shocks are imperfectly correlated, so issuer level events offset one another. Business risk, financial risk and default risk are all issuer level and therefore unsystematic. Purchasing power risk comes from the general price level and affects nominal returns across the whole market at once, which is what makes it systematic and non diversifiable.

Why A is wrong: Tempting because business risk is a genuine equity risk and she owns a lot of equities. It is wrong because business risk is company specific, so holding 60 issuers across eight markets is precisely what reduces it.

Why B is wrong: Tempting because leverage magnifies losses and does raise the risk of any single holding. It is wrong because gearing differs from issuer to issuer, which makes financial risk unsystematic and reducible by holding many issuers.

Why C is wrong: Tempting because default is a real bond risk and she holds four bond funds. It is wrong because default is issuer specific, and pooled funds holding many issuers are the standard way of diversifying it away.

Why D is correct: Correct. Purchasing power risk is systematic. Inflation reduces the real value of nominal returns whatever the mix of issuers, so spreading capital across more securities and markets leaves the exposure intact.

See more CFP practice questions, answers explained.

Exam traps in Investment Planning

Answers that look right on this material and are not. Each one is a distractor from a different question in the CFP bank for this domain.

  • Default risk, because the price concession that the dealer is demanding reflects doubt about the ability of the issuer to meet its remaining obligations.

    Why it is wrong: Tempting because a discount to fair value often does signal credit trouble in bond markets. It is wrong on the facts given: the issue is rated AA and is paying on schedule, so the discount is not a credit judgement.

  • Beta, because beta scales the portfolio's return volatility to that of the broad market and so expresses the risk she is bearing in a single comparable figure.

    Why it is wrong: Tempting because beta is the most familiar risk statistic and it does produce one comparable number. It is wrong here because beta measures systematic risk alone. Priya's dominant exposure is company specific, so beta would understate the risk she actually carries.

  • 5.70 percent

    Why it is wrong: This deducts the 24 percent tax but stops there, leaving a nominal after-tax figure, so it answers what Yvonne kept in dollars rather than what happened to her purchasing power once 3.20 percent inflation is taken into account.

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