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CFA Level 1 - Ethics Questions and Answers 100% Solved
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CFA Level 1 - Ethics
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CFA Level 1 - EthicsThe Standard of Professional Conduct - answer I. Professionalism
II. Integrity of Capital Markets
III. Duties to Clients
IV. Duties to Employers
V. Investment Analysis, Recommendations and Actions
VI. Conflicts of Interest
VII. Responsibilities as a CFA Inst. Mem. or CFA Cand.
I. Professionalism - answer A. Knowledge of the Law
B. Independence and Objectivity
C. Misrepresentation
D. Misconduct
II. Integrity of Capital Markets - answer A. Material Nonpublic Information
B. Market Manipulation
III. Duties to Clients - answer A. Loyalty, Prudence and Care
B. Fair Dealing
C. Suitability
D. Performance Presentation
E. Preservation of Confidentiality
IV. Duties to Employers - answerA. Loyalty
B. Additional Compensation Agreements
C. Responsibilities of Supervisors
V. Investment Analysis, Recommendations and Actions - answerA. Diligence and
Reasonable Basis
B. Communication with Clients and Prospective Clients
C. Record Retention
VI. Conflicts of Interest - answerA. Disclosure Conflicts
B. Priority of Transactions
C. Referral Fees
VII. Responsibilities as a CFA Institute Member or CFA Candidate - answerA. Conduct
as Mem. and Cand. in the CFA Program
B. Reference to CFA Inst., the CFA Desig. and CFA Program
I.A. Knowledge of the Law - answerMembers and Candidates must understand and
comply with all applicable laws, rules, and regulations (including the CFA Institute Code
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