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5 Written questions

5 Matching questions

  1. 4C
  2. 5B
  3. 3E
  4. 4B
  5. 7A
  1. a Communication with Clients and Prospective Clients
  2. b Additional Compensation Arrangement (外快)
  3. c Responsibility of Supervisor
  4. d Preservation of Confidentiality
  5. e Conduct as Members and Candidates in CFA program

5 Multiple choice questions

  1. Material Nonpublic Information
  2. Suitability
  3. Fair Dealing
  4. Disclosure of Conflicts
  5. Duties to Employer

5 True/False questions

  1. 1CKnowledge of the L(A)w

          

  2. 6CReferral Fees

          

  3. 7BIndependence & O(B)jectivity

          

  4. 5CRecord Retention

          

  5. 5ACommunication with Clients and Prospective Clients