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5 Written questions

5 Matching questions

  1. II
  2. III
  3. 5C
  4. 2B
  5. 6B
  1. a Integrity of Capital Market
  2. b Priority of Transaction
  3. c Duties to Client
  4. d Market Manipulation
  5. e Record Retention

5 Multiple choice questions

  1. Additional Compensation Arrangement (外快)
  2. Preservation of Confidentiality
  3. Reponsibilities as CFA Insittutes Member or CFA Candidate
  4. Conduct as Members and Candidates in CFA program
  5. Suitability

5 True/False questions

  1. 1AKnowledge of the L(A)w

          

  2. 3DMiscon(D)uct

          

  3. 6CMisrepresentation

          

  4. 1BFair Dealing

          

  5. 5BCommunication with Clients and Prospective Clients

          

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