CFA 2026 Level I Ethics Client Duties Free Quiz 2

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CFA 2026 Level I Ethics Client Duties Free Quiz 2

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CFA 2026 Level I Ethics Client Duties Free Quiz 2

Practice CFA 2026 Level I Ethics MCQs from Client Duties. Get instant results with Explanation.

General5 MCQs

11. What does Standard III(A) Loyalty, Prudence, and Care require regarding prioritisation?

A. Place their own interests before clients' interests.B. Act with reasonable care but not necessarily loyalty.C. Place clients' interests before their own and act with loyalty, prudence, and care.D. Act for the benefit of the firm before clients.

12. What does Standard III(B) Fair Dealing require regarding discrimination?

A. Allows discrimination against clients with small portfolios.B. Allows discrimination against clients who are not profitable.C. Only requires fair dealing for institutional clients.D. Requires dealing fairly and objectively with all clients and prospective clients without discrimination.

13. What does Standard III(C) Suitability require regarding ongoing suitability?

A. Ensure investments are suitable and update suitability assessments periodically.B. Only requires suitability assessment at the beginning of the relationship.C. Does not require updating suitability assessments.D. Only requires suitability for clients with large portfolios.

14. What does Standard III(D) Performance Presentation require regarding completeness?

A. Only requires that performance presentations be accurate.B. Requires presenting performance information that is fair, accurate, and complete, without omitting information that would make it misleading.C. Allows omitting information that would make the presentation misleading.D. Only requires performance presentations for clients who request them.

15. What does Standard III(E) Preservation of Confidentiality require regarding former clients?

A. Only applies during the client relationship.B. Does not apply to former clients.C. Applies to current, former, and prospective clients, even after the relationship ends.D. Only applies to information that is material to investment decisions.

General5 MCQs

16. What does Standard III(A) Loyalty, Prudence, and Care require regarding conflicts of interest?

A. Conflicts of interest are acceptable as long as they are disclosed.B. Conflicts of interest are acceptable if they benefit the firm.C. Conflicts of interest are only prohibited if they harm clients.D. Must avoid conflicts of interest that could harm clients and act for the benefit of clients.

17. What does Standard III(B) Fair Dealing require regarding dissemination of information?

A. Disseminate investment recommendations and actions in a manner that gives all clients fair and equal treatment.B. Allows certain clients to receive information before others.C. Only applies to investment recommendations, not actions.D. Only requires fair dealing for institutional clients.

18. What does Standard III(C) Suitability require members to consider?

A. Only requires considering the client's investment objectives.B. Requires considering the client's financial situation, investment objectives, and risk tolerance.C. Allows members to recommend products that are not suitable if they are disclosed.D. Only requires suitability for institutional clients.

19. What does Standard III(D) Performance Presentation require regarding hypothetical performance?

A. Allows presenting hypothetical performance without clear disclosure.B. Only requires accuracy for actual performance, not hypothetical.C. Requires that performance presentations be fair, accurate, and complete, and not present unachievable performance.D. Only requires performance presentations for clients who request them.

20. What does Standard III(E) Preservation of Confidentiality prohibit regarding use of information?

A. Can use confidential information for personal benefit as long as it is not disclosed.B. Only applies to information about current clients.C. Only applies to information that is material to investment decisions.D. Must preserve confidentiality and not use confidential information for personal benefit.

📋 CFA - Test Online Practice Quizzes

CFA

Conducting Body: CFA Institute

Frequency: 4 times a year (February, May, August, November) | Time: 135 Minutes

Negative Marking: No

⚡ Test Pattern (Total: 90 MCQs):

Alternative Investments: 8 MCQs
Corporate Issuers: 7 MCQs
Derivatives: 5 MCQs
Economics: 7 MCQs
Equity Investments: 12 MCQs
Ethics: 16 MCQs
Financial Statement Analysis: 11 MCQs
Fixed Income: 11 MCQs
Portfolio Management: 9 MCQs
Quant Methods: 6 MCQs

Merit Formula: -

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