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5 Written questions

5 Matching questions

  1. III
  2. 4B
  3. 1D
  4. 4C
  5. 3D
  1. a Responsibility of Supervisor
  2. b Duties to Client
  3. c Additional Compensation Arrangement (外快)
  4. d Miscon(D)uct
  5. e Performance Presentation

5 Multiple choice questions

  1. Suitability
  2. Loyalty
  3. Material Nonpublic Information
  4. Independence & O(B)jectivity
  5. Market Manipulation

5 True/False questions

  1. 6ADisclosure of Conflicts

          

  2. 7AKnowledge of the L(A)w

          

  3. 6BPriority of Transaction

          

  4. IDuties to Employer

          

  5. 7BReference to CFA institute, designation, program