CFA 2026 Level I Ethics Client Duties Free Quiz 3

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CFA 2026 Level I Ethics Client Duties Free Quiz 3

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CFA 2026 Level I Ethics Client Duties Free Quiz 3

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

General5 MCQs

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

A. Act with loyalty, prudence, and care, and exercise independent professional judgment.B. Follow client instructions without independent judgment.C. Use reasonable care but not necessarily independent judgment.D. Exercise independent professional judgment but not necessarily reasonable care.

22. What does Standard III(B) Fair Dealing require regarding practices that could disadvantage clients?

A. Allows practices that disadvantage certain clients if they are disclosed.B. Requires dealing fairly and objectively with all clients and not engaging in practices that could disadvantage any client.C. Only requires fair dealing for institutional clients.D. Allows practices that disadvantage clients if they benefit the firm.

23. What does Standard III(C) Suitability require regarding suitability of recommendations and actions?

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

24. What does Standard III(D) Performance Presentation require regarding factual support?

A. Allows presenting performance that is not supported by the facts.B. Only requires accuracy for performance presentations that are used in advertising.C. Allows presenting performance that is not supported by the facts if it is disclosed.D. Requires that performance presentations be fair, accurate, and complete, and supported by the facts.

25. What does Standard III(E) Preservation of Confidentiality require regarding disclosure?

A. Preserve confidentiality and not disclose information unless required by law or client permission.B. Can disclose confidential information if it benefits the firm.C. Can disclose confidential information if it is not material.D. Only applies to information about current clients.

General5 MCQs

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

27. What does Standard III(B) Fair Dealing require regarding personal preferences?

A. Allows personal preferences to influence treatment of clients.B. Only requires fair dealing for clients who generate more fees.C. Requires dealing fairly and objectively with all clients and not allowing personal preferences to influence treatment.D. Only requires fair dealing for institutional clients.

28. What does Standard III(C) Suitability require regarding recommendations and actions?

A. Only requires suitability for clients with large portfolios.B. Allows members to recommend products that are not suitable if they are disclosed.C. Only requires suitability for institutional clients.D. Requires making investment recommendations or actions that are suitable for the client's situation, objectives, and risk tolerance.

29. What does Standard III(D) Performance Presentation require regarding omissions?

A. Ensure performance presentations are fair, accurate, and complete, and not omit information that would make them misleading.B. Allows omitting information that would make the presentation misleading.C. Only requires accuracy for performance presentations that are used in advertising.D. Only requires performance presentations for clients who request them.

30. 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. Must preserve confidentiality and not use confidential information for personal benefit.C. Only applies to information about current clients.D. Only applies to information that is material to investment decisions.

📋 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: -

Practice CFA MCQs

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