STANDARDS OF PROFESSIONAL CONDUCT

Question 1

I PROFESSIONALISM 1/4

Answer 1

Knowledge of the law

Question 2

I PROFESSIONALISM 2/4

Answer 2

Independence and Objectivity

Question 3

I PROFESSIONALISM 3/4

Answer 3

Misrepresentation

Question 4

I PROFESSIONALISM 4/4

Answer 4

Misconduct

Question 5

II INTEGRITY OF CAPITAL MARKETS 1/2

Answer 5

Material Nonpublic Information

Question 6

II INTEGRITY OF CAPITAL MARKETS 2/2

Answer 6

Market Manipulation

Question 7

III DUTIES TO CLIENTS 1/5

Answer 7

Loyalty,Prudence,and Care

Question 8

III DUTIES TO CLIENTS 2/5

Answer 8

Fair Dealing

Question 9

III DUTIES TO CLIENTS 3/5

Answer 9

Suitability

Question 10

III DUTIES TO CLIENTS 4/5

Answer 10

Performance Presentation

Question 11

III DUTIES TO CLIENTS 5/5

Answer 11

Preservation of Confidentiality

Question 12

IV DUTIES TO EMPLOYERS 1/3

Answer 12

Loyalty

Question 13

IV DUTIES TO EMPLOYERS 2/3

Answer 13

Additional Compensation Arrangements

Question 14

IV DUTIES TO EMPLOYERS 3/3

Answer 14

Responsibilities of Supervisors

Question 15

V INVESTMENT ANALYSIS,RECOMMENDATIONS,AND ACTIONS 1/3

Answer 15

Diligence and Reasonable Basis

Question 16

V INVESTMENT ANALYSIS,RECOMMENDATIONS,AND ACTIONS 2/3

Answer 16

Communication with Clients and Prospective Clients

Question 17

V INVESTMENT ANALYSIS,RECOMMENDATIONS,AND ACTIONS 3/3

Answer 17

Record Retention

Question 18

VI CONFLICTS OF INTEREST 1/3

Answer 18

Disclosure of Conflicts

Question 19

VI CONFLICTS OF INTEREST 2/3

Answer 19

Priority of Transactions

Question 20

VI CONFLICTS OF INTEREST 3/3

Answer 20

Referral Fees

Question 21

VII RESPONSIBILITIES AS A CFA INSTITUTE MEMBER OR CFA CANDIDATE 1/2

Answer 21

Conduct as Members and Candidates in the CFA Program

Question 22

VII RESPONSIBILITIES AS A CFA INSTITUTE MEMBER OR CFA CANDIDATE 2/2

Answer 22

Reference to CFA Institute,the CFA Designation,and the CFA Program