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5 Written questions

5 Matching questions

  1. I
  2. 1A
  3. II
  4. 6B
  5. 7B
  1. a Reference to CFA institute, designation, program
  2. b Knowledge of the L(A)w
  3. c Professionalism
  4. d Integrity of Capital Market
  5. e Priority of Transaction

5 Multiple choice questions

  1. Communication with Clients and Prospective Clients
  2. Independence & O(B)jectivity
  3. Conduct as Members and Candidates in CFA program
  4. Record Retention
  5. Diligence and Reasonable Basis

5 True/False questions

  1. 2AMaterial Nonpublic Information

          

  2. VIProfessionalism

          

  3. 6CReferral Fees

          

  4. IVDuties to Employer

          

  5. 1CReferral Fees

          

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