CFA Institute CFA-Level-I Exam Questions – 100% Success Guaranteed

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CFA Institute CFA-Level-I Exam Sample Questions

Question: 3

Standard III (D) deals with ________.

  1. Professional Misconduct
  2. Use of Professional Designation
  3. Plagiarism
  4. Fundamental Responsibilities
  5. None of these answers
  • Obligation to Inform Employer of Code and Standards

  • Answer: E

    Explanation:

    Standard I deals with Fundamental Responsibilities. Standard II (A) deals with Use of Professional Designation. Standard II (B) deals with Professional Misconduct. Standard II (C) deals with Plagiarism. Standard III (A) deals with the Obligation to Inform Employer of Codes and Standards. Standard III (D) deals with the Disclosure of Additional Compensation Arrangements.

    Question: 4

    Another name for “access” person is ________.

    1. none of these answers
    2. supervisor
    3. ombudsman
    4. guardian
    5. fiduciary
  • covered person

  • Answer: F

    Explanation:

    Access or covered persons have knowledge of pending or actual investment recommendations or action. The firm’s definition of access (covered) person should be broad enough to cover all people with that knowledge.

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    Question: 3

    Standard III (D) deals with ________.

    1. Professional Misconduct
    2. Use of Professional Designation
    3. Plagiarism
    4. Fundamental Responsibilities
    5. None of these answers
  • Obligation to Inform Employer of Code and Standards

  • Answer: E

    Explanation:

    Standard I deals with Fundamental Responsibilities. Standard II (A) deals with Use of Professional Designation. Standard II (B) deals with Professional Misconduct. Standard II (C) deals with Plagiarism. Standard III (A) deals with the Obligation to Inform Employer of Codes and Standards. Standard III (D) deals with the Disclosure of Additional Compensation Arrangements.

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    Question: 4

    Another name for “access” person is ________.

    1. none of these answers
    2. supervisor
    3. ombudsman
    4. guardian
    5. fiduciary
  • covered person

  • Answer: F

    Explanation:

    Access or covered persons have knowledge of pending or actual investment recommendations or action. The firm’s definition of access (covered) person should be broad enough to cover all people with that knowledge.

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    Question: 3

    Standard III (D) deals with ________.

    1. Professional Misconduct
    2. Use of Professional Designation
    3. Plagiarism
    4. Fundamental Responsibilities
    5. None of these answers
  • Obligation to Inform Employer of Code and Standards

  • Answer: E

    Explanation:

    Standard I deals with Fundamental Responsibilities. Standard II (A) deals with Use of Professional Designation. Standard II (B) deals with Professional Misconduct. Standard II (C) deals with Plagiarism. Standard III (A) deals with the Obligation to Inform Employer of Codes and Standards. Standard III (D) deals with the Disclosure of Additional Compensation Arrangements.

    Question: 4

    Another name for “access” person is ________.

    1. none of these answers
    2. supervisor
    3. ombudsman
    4. guardian
    5. fiduciary
  • covered person

  • Answer: F

    Explanation:

    Access or covered persons have knowledge of pending or actual investment recommendations or action. The firm’s definition of access (covered) person should be broad enough to cover all people with that knowledge.

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