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5 Written questions

5 Matching questions

  1. 3A
  2. 3B
  3. 4C
  4. IV
  5. 5C
  1. a Fair Dealing
  2. b Loyalty Prudence and Care
  3. c Duties to Employer
  4. d Responsibility of Supervisor
  5. e Record Retention

5 Multiple choice questions

  1. Conflicts of Interest
  2. Conduct as Members and Candidates in CFA program
  3. Reponsibilities as CFA Insittutes Member or CFA Candidate
  4. Professionalism
  5. Priority of Transaction

5 True/False questions

  1. VInvestment Analysis, Recommendation, Action

          

  2. 7BCommunication with Clients and Prospective Clients

          

  3. 4ALoyalty

          

  4. 6CResponsibility of Supervisor

          

  5. IIIReponsibilities as CFA Insittutes Member or CFA Candidate