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5 Written Questions

5 Matching Questions

  1. 1B
  2. 2A
  3. 5A
  4. 3B
  5. 6C
  1. a Fair Dealing
  2. b Independence & O(B)jectivity
  3. c Referral Fees
  4. d Diligence and Reasonable Basis
  5. e Material Nonpublic Information

5 Multiple Choice Questions

  1. Miscon(D)uct
  2. Communication with Clients and Prospective Clients
  3. Preservation of Confidentiality
  4. Reference to CFA institute, designation, program
  5. Misrepresentation

5 True/False Questions

  1. 6APriority of Transaction

          

  2. 7AConduct as Members and Candidates in CFA program

          

  3. 3CReferral Fees

          

  4. VInvestment Analysis, Recommendation, Action

          

  5. VIConflicts of Interest

          

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