CFA Level 1 Ethics questions and
answers with verified solutions 100%
correct!!!
Circumstances that prompt professional conduct query - ANSWER✔✔1. Self-
disclosure by members or candidates in their annual Professional Conduct
Statements, or that the member of candidate is subject to a written complaint.
2. Written complaints about a member or candidate professional conduct.
3. Evidence of misconduct by a member or candidate that the Professional Conduct
staff received through public sources
4. Report by CFA exam proctor of possible violation during exam
After inquiry begins Professional Conduct staff may - ANSWER✔✔1. Interview
subject member
2. interview the complaintant or third party
3. collect documents and records relevant to investigation
The Designation Oficer may decide what? - ANSWER✔✔1. No disciplinary
sanctions are appropriate
2. issue a cautionary letter
3. discipline member of candidate
answers with verified solutions 100%
correct!!!
Circumstances that prompt professional conduct query - ANSWER✔✔1. Self-
disclosure by members or candidates in their annual Professional Conduct
Statements, or that the member of candidate is subject to a written complaint.
2. Written complaints about a member or candidate professional conduct.
3. Evidence of misconduct by a member or candidate that the Professional Conduct
staff received through public sources
4. Report by CFA exam proctor of possible violation during exam
After inquiry begins Professional Conduct staff may - ANSWER✔✔1. Interview
subject member
2. interview the complaintant or third party
3. collect documents and records relevant to investigation
The Designation Oficer may decide what? - ANSWER✔✔1. No disciplinary
sanctions are appropriate
2. issue a cautionary letter
3. discipline member of candidate
