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5 Written questions

5 Matching questions

  1. IV
  2. 6B
  3. 3C
  4. 3B
  5. 5A
  1. a Priority of Transaction
  2. b Duties to Employer
  3. c Diligence and Reasonable Basis
  4. d Suitability
  5. e Fair Dealing

5 Multiple choice questions

  1. Miscon(D)uct
  2. Loyalty
  3. Material Nonpublic Information
  4. Disclosure of Conflicts
  5. Additional Compensation Arrangement (外快)

5 True/False questions

  1. 3DLoyalty Prudence and Care

          

  2. VIInvestment Analysis, Recommendation, Action

          

  3. 1AKnowledge of the L(A)w

          

  4. IProfessionalism

          

  5. 2BMarket Manipulation