CFA Level 1 – Ethics with all Correct & 100% Verified
Answers |Latest Update |Already Graded A+
The Standard of Professional Conduct ✔Correct Answer-I. Professionalism
II. Integrity of Capital Markets
III. Duties to Clients
IV. Duties to Employers
V. Investment Analysis, Recommendations and Actions
VI. Conflicts of Interest
VII. Responsibilities as a CFA Inst. Mem. or CFA Cand.
I. Professionalism ✔Correct Answer-A. Knowledge of the Law
B. Independence and Objectivity
C. Misrepresentation
D. Misconduct
II. Integrity of Capital Markets ✔Correct Answer-A. Material Nonpublic Information
B. Market Manipulation
III. Duties to Clients ✔Correct Answer-A. Loyalty, Prudence and Care
B. Fair Dealing
C. Suitability
D. Performance Presentation
E. Preservation of Confidentiality
IV. Duties to Employers ✔Correct Answer-A. Loyalty
B. Additional Compensation Agreements
C. Responsibilities of Supervisors
V. Investment Analysis, Recommendations and Actions ✔Correct Answer-A. Diligence and
Reasonable Basis
B. Communication with Clients and Prospective Clients
C. Record Retention
VI. Conflicts of Interest ✔Correct Answer-A. Disclosure Conflicts
B. Priority of Transactions
C. Referral Fees
VII. Responsibilities as a CFA Institute Member or CFA Candidate ✔Correct Answer-A. Conduct as
Mem. and Cand. in the CFA Program
B. Reference to CFA Inst., the CFA Desig. and CFA Program
I.A. Knowledge of the Law ✔Correct Answer-Members and Candidates must understand and
comply with all applicable laws, rules, and regulations (including the CFA Institute Code of Ethics and
Standards of Professional Conduct) of any government, regulatory organization, licensing agency, or
professional association governing their professional activities. In the event of conflict, Members and
Candidates must not knowingly participate or assist in and must disassociate from any violation of
such laws, rules, or regulations.
Answers |Latest Update |Already Graded A+
The Standard of Professional Conduct ✔Correct Answer-I. Professionalism
II. Integrity of Capital Markets
III. Duties to Clients
IV. Duties to Employers
V. Investment Analysis, Recommendations and Actions
VI. Conflicts of Interest
VII. Responsibilities as a CFA Inst. Mem. or CFA Cand.
I. Professionalism ✔Correct Answer-A. Knowledge of the Law
B. Independence and Objectivity
C. Misrepresentation
D. Misconduct
II. Integrity of Capital Markets ✔Correct Answer-A. Material Nonpublic Information
B. Market Manipulation
III. Duties to Clients ✔Correct Answer-A. Loyalty, Prudence and Care
B. Fair Dealing
C. Suitability
D. Performance Presentation
E. Preservation of Confidentiality
IV. Duties to Employers ✔Correct Answer-A. Loyalty
B. Additional Compensation Agreements
C. Responsibilities of Supervisors
V. Investment Analysis, Recommendations and Actions ✔Correct Answer-A. Diligence and
Reasonable Basis
B. Communication with Clients and Prospective Clients
C. Record Retention
VI. Conflicts of Interest ✔Correct Answer-A. Disclosure Conflicts
B. Priority of Transactions
C. Referral Fees
VII. Responsibilities as a CFA Institute Member or CFA Candidate ✔Correct Answer-A. Conduct as
Mem. and Cand. in the CFA Program
B. Reference to CFA Inst., the CFA Desig. and CFA Program
I.A. Knowledge of the Law ✔Correct Answer-Members and Candidates must understand and
comply with all applicable laws, rules, and regulations (including the CFA Institute Code of Ethics and
Standards of Professional Conduct) of any government, regulatory organization, licensing agency, or
professional association governing their professional activities. In the event of conflict, Members and
Candidates must not knowingly participate or assist in and must disassociate from any violation of
such laws, rules, or regulations.
