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5 Written questions

5 Matching questions

  1. 6B
  2. 4C
  3. 2B
  4. 4A
  5. 3C
  1. a Suitability
  2. b Market Manipulation
  3. c Priority of Transaction
  4. d Responsibility of Supervisor
  5. e Loyalty

5 Multiple choice questions

  1. Preservation of Confidentiality
  2. Reponsibilities as CFA Insittutes Member or CFA Candidate
  3. Duties to Client
  4. Miscon(D)uct
  5. Integrity of Capital Market

5 True/False questions

  1. IProfessionalism

          

  2. IVIntegrity of Capital Market

          

  3. VIConflicts of Interest

          

  4. 4BCommunication with Clients and Prospective Clients

          

  5. 7BIndependence & O(B)jectivity

          

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