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5 Written questions

5 Matching questions

  1. VII
  2. 5B
  3. 3C
  4. 6B
  5. 4C
  1. a Reponsibilities as CFA Insittutes Member or CFA Candidate
  2. b Responsibility of Supervisor
  3. c Priority of Transaction
  4. d Suitability
  5. e Communication with Clients and Prospective Clients

5 Multiple choice questions

  1. Misrepresentation
  2. Disclosure of Conflicts
  3. Record Retention
  4. Preservation of Confidentiality
  5. Fair Dealing

5 True/False questions

  1. 4BResponsibility of Supervisor

          

  2. 5ADiligence and Reasonable Basis

          

  3. IConflicts of Interest

          

  4. 1DMiscon(D)uct

          

  5. IVIntegrity of Capital Market

          

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