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5 Written questions

5 Matching questions

  1. II
  2. 3A
  3. 2A
  4. 3C
  5. IV
  1. a Loyalty Prudence and Care
  2. b Material Nonpublic Information
  3. c Suitability
  4. d Integrity of Capital Market
  5. e Duties to Employer

5 Multiple choice questions

  1. Miscon(D)uct
  2. Reponsibilities as CFA Insittutes Member or CFA Candidate
  3. Conduct as Members and Candidates in CFA program
  4. Disclosure of Conflicts
  5. Record Retention

5 True/False questions

  1. VIInvestment Analysis, Recommendation, Action

          

  2. 3EPreservation of Confidentiality

          

  3. 1BFair Dealing

          

  4. 4BAdditional Compensation Arrangement (外快)

          

  5. 5BCommunication with Clients and Prospective Clients