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5 Written questions

5 Matching questions

  1. 4C
  2. 1C
  3. 5C
  4. II
  5. III
  1. a Integrity of Capital Market
  2. b Duties to Client
  3. c Responsibility of Supervisor
  4. d Misrepresentation
  5. e Record Retention

5 Multiple choice questions

  1. Conflicts of Interest
  2. Performance Presentation
  3. Fair Dealing
  4. Duties to Employer
  5. Communication with Clients and Prospective Clients

5 True/False questions

  1. 2AConduct as Members and Candidates in CFA program

          

  2. 3AMaterial Nonpublic Information

          

  3. VIIConflicts of Interest

          

  4. 4ALoyalty

          

  5. 6BReference to CFA institute, designation, program

          

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