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CFA L2-Ethics-Code & Std Test

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5 Written Questions

5 Matching Questions

  1. 3A
  2. 5A
  3. 6A
  4. 6B
  5. 4C
  1. a Diligence and Reasonable Basis
  2. b Loyalty Prudence and Care
  3. c Disclosure of Conflicts
  4. d Priority of Transaction
  5. e Responsibility of Supervisor

5 Multiple Choice Questions

  1. Market Manipulation
  2. Preservation of Confidentiality
  3. Integrity of Capital Market
  4. Reference to CFA institute, designation, program
  5. Investment Analysis, Recommendation, Action

5 True/False Questions

  1. 1BMisrepresentation

          

  2. 3CSuitability

          

  3. 5BCommunication with Clients and Prospective Clients

          

  4. 6CDisclosure of Conflicts

          

  5. 3BFair Dealing

          

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