CFA 2026 Level I Ethics Employer Duties Free Quiz 2

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CFA 2026 Level I Ethics Employer Duties Free Quiz 2

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CFA 2026 Level I Ethics Employer Duties Free Quiz 2

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

General5 MCQs

11. What does Standard IV(B) Additional Compensation Arrangements require regarding disclosure of compensation from clients?

A. Only requires disclosure of compensation from clients that exceeds a certain amount.B. Does not require disclosure of compensation from clients.C. Requires disclosure to the employer of all compensation arrangements that could create a conflict of interest, including from clients.D. Only requires disclosure of compensation from employers, not from clients.

12. What does Standard IV(C) Responsibilities of Supervisors require regarding detection and prevention?

A. Supervisors do not need to take steps to detect violations.B. Only need to take steps to detect violations, not prevent them.C. Only need to establish procedures, not maintain them.D. Must take reasonable steps to detect and prevent violations, including establishing and maintaining appropriate procedures.

13. What does Standard IV(A) Loyalty require regarding the employer's business and reputation?

A. Act for the benefit of their employer and not engage in activities that could harm the employer's business or reputation.B. Can engage in activities that harm the employer's business if they are not illegal.C. Can engage in activities that harm the employer's reputation if they are disclosed.D. Loyalty to the employer is optional.

14. What does Standard IV(B) Additional Compensation Arrangements require regarding written consent?

A. Only requires disclosure, not written consent.B. Requires disclosure to the employer and written consent for compensation or benefits that could create a conflict of interest.C. Written consent is not required if the compensation is not material.D. Only requires oral disclosure to the employer.

15. What does Standard IV(C) Responsibilities of Supervisors require regarding compliance of subordinates?

A. Supervisors are not responsible for ensuring compliance of their subordinates.B. Only need to ensure compliance with the Code, not other laws.C. Must take reasonable steps to ensure that persons under their supervision comply with applicable laws, rules, regulations, and the Code and Standards.D. Only need to ensure compliance of subordinates who are directly involved in investment activities.

General5 MCQs

16. What does Standard IV(A) Loyalty prohibit regarding use of employer resources?

A. Can use employer resources for personal benefit as long as they are not material.B. Can use confidential information for personal benefit if it is not disclosed.C. Can use employer resources for personal benefit if they are not using them during work hours.D. Must not use employer resources or confidential information for personal benefit.

17. What does Standard IV(B) Additional Compensation Arrangements require regarding disclosure of compensation arrangements?

A. Disclose all compensation arrangements that could create a conflict of interest, including from clients or others.B. Only disclose compensation from clients, not from others.C. Only disclose compensation that exceeds a certain amount.D. No disclosure is required.

18. What does Standard IV(C) Responsibilities of Supervisors require regarding compliance procedures?

A. Supervisors do not need to implement compliance procedures.B. Must implement and enforce appropriate compliance procedures to prevent violations by persons under their supervision.C. Only need to enforce procedures, not implement them.D. Only need to implement procedures, not enforce them.

19. What does Standard IV(A) Loyalty require regarding the employer's interests?

A. Can engage in conduct that harms the employer's interests if it benefits clients.B. Can engage in conduct that harms the employer's interests if it is disclosed.C. Must act for the benefit of their employer and not engage in conduct that would harm their employer's interests.D. Loyalty to the employer is optional.

20. What does Standard IV(B) Additional Compensation Arrangements require regarding acceptance of compensation?

A. Only requires disclosure, not written consent.B. Written consent is not required if the compensation is not material.C. Only requires oral disclosure to the employer.D. Requires disclosure to the employer and written consent before accepting compensation or benefits that could create a conflict of interest.

📋 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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