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5 Written Questions

5 Matching Questions

  1. 3A
  2. 2B
  3. I
  4. 7A
  5. II
  1. a Professionalism
  2. b Integrity of Capital Market
  3. c Loyalty Prudence and Care
  4. d Market Manipulation
  5. e Conduct as Members and Candidates in CFA program

5 Multiple Choice Questions

  1. Disclosure of Conflicts
  2. Preservation of Confidentiality
  3. Independence & O(B)jectivity
  4. Duties to Client
  5. Duties to Employer

5 True/False Questions

  1. 6CReferral Fees

          

  2. 3CSuitability

          

  3. 5BAdditional Compensation Arrangement (外快)

          

  4. 4AMaterial Nonpublic Information

          

  5. VIIIntegrity of Capital Market

          

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