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5 Written Questions

5 Matching Questions

  1. III
  2. 3B
  3. 4C
  4. 4B
  5. V
  1. a Additional Compensation Arrangement (外快)
  2. b Fair Dealing
  3. c Responsibility of Supervisor
  4. d Duties to Client
  5. e Investment Analysis, Recommendation, Action

5 Multiple Choice Questions

  1. Conduct as Members and Candidates in CFA program
  2. Suitability
  3. Market Manipulation
  4. Reference to CFA institute, designation, program
  5. Integrity of Capital Market

5 True/False Questions

  1. 1DMiscon(D)uct

          

  2. 6BPriority of Transaction

          

  3. 3EFair Dealing

          

  4. 2AConduct as Members and Candidates in CFA program

          

  5. IInvestment Analysis, Recommendation, Action

          

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