Ethical and Professional Standards Flashcards
1
Q
According to the CFA Institute Code of Ethics and Standards of Professional Conduct, What is not a duty to clients?
A. Loyalty
B. Fair Dealing
C. Confidentiality
D. Honesty
A
2
Q
Which of the following is not a component of Standard I: Professionalism?
A. Misrepresentation
B. Confidentiality
C. Professionalism
D. Independence and Objectivity
A
3
Q
According to the guidance for StandardI(B): Independence and Objectivity. which of the following is a violation of the standard?
A. Accepting Gifts from a client
B. Providing objective and unbiased advice
C. Disclosing all conflicts of interest
D. Allowing personal biases to influence investment recommendations
A
