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CFA Institute Standards of Practice Handbook 2014 Quiz

12 Questions

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CFA Institute Standards of Practice Handbook 2014 Quiz

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Questions and Answers

Which organization owns the trademarks CFA®, Chartered Financial Analyst®, CIPM®, Claritas® and GIPS®?

CFA Institute (correct)

Investment Professionals Guild

Financial Ethics Consortium

Chartered Financial Analyst Association

What is the focus of Standard II: Integrity of Capital Markets in the Standards of Practice Handbook?

Material Nonpublic Information (correct)

Knowledge of the Law

Independence and Objectivity

Market Manipulation

What is the subject of Standard I: Professionalism in the Standards of Practice Handbook?

Misrepresentation

Knowledge of the Law

Misconduct

Independence and Objectivity (correct)

According to the Standards of Practice Handbook, what is the main focus of Standard III: Duties to Clients?

Duties to Clients Signup and view all the answers

What are the main topics covered in Standard I: Professionalism in the Standards of Practice Handbook?

Knowledge of the Law and Independence Signup and view all the answers

In the context of the Standards of Practice Handbook, what is the relevance of the term 'Misconduct'?

Violating professional standards Signup and view all the answers

What is discussed in the section titled 'Fair Dealing'?

Loyalty, Prudence, and Care Signup and view all the answers

Which standard covers 'Responsibilities of Supervisors'?

Responsibilities of Supervisors Signup and view all the answers

Under which standard is 'Record Retention' addressed?

Record Retention Signup and view all the answers

What is the topic of 'Priority of Transactions'?

Priority of Transactions Signup and view all the answers

Which section discusses 'Reference to CFA Institute, the CFA Designation, and the CFA Program'?

Responsibilities as a CFA Institute Member or CFA Candidate Signup and view all the answers

What is the focus of 'Sample CFA Institute Standards of Practice Exam'?

Sample CFA Institute Standards of Practice Exam Signup and view all the answers