Câu hỏi về tiêu chuẩn CFA

Câu hỏi về tiêu chuẩn CFA

University

10 Qs

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Câu hỏi về tiêu chuẩn CFA

Câu hỏi về tiêu chuẩn CFA

Assessment

Quiz

Specialty

University

Medium

Created by

Bộ môn Kê toán Ngân hàng HVNH

Used 3+ times

FREE Resource

10 questions

Show all answers

1.

MULTIPLE CHOICE QUESTION

30 sec • 1 pt

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

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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