Which standard requires CFA members and candidates to understand and comply with all applicable laws, rules, and regulations?

Câu hỏi về tiêu chuẩn CFA

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University
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Medium
Bộ môn Kê toán Ngân hàng HVNH
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10 questions
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1.
MULTIPLE CHOICE QUESTION
30 sec • 1 pt
Standard I(B) - Independence and Objectivity
Standard I(C) - Misrepresentation
Standard I(A) - Knowledge of the Law
Standard II(A) - Material Nonpublic Information
2.
MULTIPLE CHOICE QUESTION
30 sec • 1 pt
Which of the following actions is considered a violation of Standard I(D) - Misconduct?
Using non-public information to trade securities
Providing misleading investment analysis information to clients
Accepting gifts that may impair objectivity
Engaging in any professional conduct involving dishonesty, fraud, or deceit
3.
MULTIPLE CHOICE QUESTION
30 sec • 1 pt
Which standard requires CFA members and candidates to use care and reasonable judgment to achieve and maintain independence and objectivity in their professional activities?
Standard I(A) - Knowledge of the Law
Standard I(B) - Independence and Objectivity
Standard II(A) - Material Nonpublic Information
Standard III(A) - Loyalty, Prudence, and Care
4.
MULTIPLE CHOICE QUESTION
30 sec • 1 pt
Which action violates Standard II(A) - Material Nonpublic Information?
Analyzing public information to make investment recommendations
Sharing material nonpublic information with colleagues in the company
Acting or causing others to act on material nonpublic information
Maintaining the confidentiality of client information
5.
MULTIPLE CHOICE QUESTION
30 sec • 1 pt
Which standard prohibits CFA members and candidates from engaging in practices that distort prices or inflate trading volume with the intent to mislead the market?
Standard I(D) - Misconduct
Standard II(B) - Market Manipulation
Standard III(A) - Loyalty, Prudence, and Care
Standard III(B) - Fair Dealing
6.
MULTIPLE CHOICE QUESTION
30 sec • 1 pt
Which standard states that CFA members and candidates have a duty of loyalty to their clients and must act with reasonable care and exercise prudent judgment?
Standard I(B) - Independence and Objectivity
Standard II(A) - Material Nonpublic Information
Standard III(A) - Loyalty, Prudence, and Care
Standard III(B) - Fair Dealing
7.
MULTIPLE CHOICE QUESTION
30 sec • 1 pt
Which action violates Standard III(B) - Fair Dealing?
Providing different investment recommendations to different clients based on their needs and objectives
Prioritizing investment transactions for a CFA member's personal account over similar transactions for clients
Disclosing investment performance information to all clients fairly and accurately
Maintaining the confidentiality of client information
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