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5 Written questions

5 Matching questions

  1. 4A
  2. III
  3. 7A
  4. I
  5. 5C
  1. a Professionalism
  2. b Record Retention
  3. c Loyalty
  4. d Duties to Client
  5. e Conduct as Members and Candidates in CFA program

5 Multiple choice questions

  1. Priority of Transaction
  2. Disclosure of Conflicts
  3. Investment Analysis, Recommendation, Action
  4. Independence & O(B)jectivity
  5. Reference to CFA institute, designation, program

5 True/False questions

  1. 3APreservation of Confidentiality

          

  2. 6CReferral Fees

          

  3. IIProfessionalism

          

  4. VIConflicts of Interest

          

  5. VIIReponsibilities as CFA Insittutes Member or CFA Candidate