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5 Written questions

5 Matching questions

  1. 5B
  2. VI
  3. III
  4. 6C
  5. 3E
  1. a Preservation of Confidentiality
  2. b Referral Fees
  3. c Duties to Client
  4. d Communication with Clients and Prospective Clients
  5. e Conflicts of Interest

5 Multiple choice questions

  1. Record Retention
  2. Duties to Employer
  3. Diligence and Reasonable Basis
  4. Independence & O(B)jectivity
  5. Suitability

5 True/False questions

  1. IProfessionalism

          

  2. VIIReponsibilities as CFA Insittutes Member or CFA Candidate

          

  3. 1CIndependence & O(B)jectivity

          

  4. 2BMarket Manipulation

          

  5. 3ALoyalty Prudence and Care

          

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