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CFA Level 1 Standards of Professional Conduct 26 Questions with Answers,100% CORRECT

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CFA Level 1 Standards of Professional Conduct 26 Questions with Answers Standard 1 - CORRECT ANSWER Professionalism: A. Knowledge of the Law B. Independence and Objectivity C. Misrepresentat ... ion D. Misconduct Standard 1A - CORRECT ANSWER Knowledge of the Law: Standard 1B - CORRECT ANSWER Independence and Objectivity Standard 1C - CORRECT ANSWER Misrepresentation Standard 1D - CORRECT ANSWER Misconduct Standard 2 - CORRECT ANSWER Integrity of Capital Markets: A. Material Nonpublic Information B. Market Manipulation Standard 2A - CORRECT ANSWER Material Nonpublic Information Standard 2B - CORRECT ANSWER Market Manipulation Standard 3 - CORRECT ANSWER Duties to Clients: A. Loyalty, prudence, and care B. Fair Dealing C. Suitability D. Performance Presentation Preservation of Confidentiality Standard 3A - CORRECT ANSWER Loyalty, prudence, and care Standard 3B - CORRECT ANSWER Fair dealing Standard 3C - CORRECT ANSWER Suitability Standard 3D - CORRECT ANSWER Performance Presentation Standard 3E - CORRECT ANSWER Preservation of Confidentiality Standard 4 - CORRECT ANSWER Duties to Employers: A. Loyalty B. Additional Compensation Arrangements C. Responsibilities of Supervisors Standard 5 - CORRECT ANSWER Investment Analysis, Recommendations, and Actions: A. Diligence and Reasonable Basis B. Communication with Clients and Prospective Clients C. Record Retention Standard 5A - CORRECT ANSWER Diligence and Reasonable Basis Standard 5B - CORRECT ANSWER Communication with Clients and Prospective Clients Standard 5C - CORRECT ANSWER Record Retention Standard 6 - CORRECT ANSWER Conflicts of Interest: A. Disclosure of Conflicts B. Priority Transactions C. Referral Fees Standard 6A - CORRECT ANSWER Disclosure of Conflicts Standard 6B - CORRECT ANSWER Priority Transactions Standard 6C - CORRECT ANSWER Referral Fees Standard 7 - CORRECT ANSWER Responsibilities as a CFA Institute Member or CFA Candidate: A. Conduct as Participants in CFA Institute Programs B. Reference to CFA Institute, the CFA Designation, and the CFA Program Standard 7A - CORRECT ANSWER Conduct as Participants in CFA Institute Programs Standard 7B - CORRECT ANSWER Reference to CFA Institute, The CFA Designation, and the CFA Program [Show More]

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