CFA 2026 Level I Ethics Employer Duties Free Quiz 1

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CFA 2026 Level I Ethics Employer Duties Free Quiz 1

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CFA 2026 Level I Ethics Employer Duties Free Quiz 1

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

General5 MCQs

1. What does Standard IV(A) Loyalty require?

A. Act for the benefit of their employer and not deprive the employer of their skills and abilities.B. Place their own interests above their employer's interests.C. Act for the benefit of their employer only when it does not conflict with personal interests.D. Deprive their employer of their skills and abilities if they are not fairly compensated.

2. What does Standard IV(B) Additional Compensation Arrangements require?

A. Requires prior approval from the employer for all additional compensation.B. Requires disclosure to the employer of all compensation arrangements that could create a conflict of interest.C. Requires disclosure to clients of all compensation arrangements.D. Does not require disclosure of additional compensation arrangements.

3. What does Standard IV(C) Responsibilities of Supervisors require?

A. Supervisors are not responsible for the actions of their subordinates.B. Supervisors only need to respond to violations after they occur.C. Supervisors must take reasonable steps to prevent violations by persons under their supervision.D. Supervisors only need to ensure compliance with the Code, not other laws.

4. What does Standard IV(A) Loyalty prohibit?

A. Can engage in conduct that deprives the employer of their skills as long as it is not illegal.B. Only required to act for the benefit of the employer when it is convenient.C. Loyalty to the employer is optional.D. Must not engage in conduct that would deprive the employer of the benefit of their skills and abilities.

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

A. Disclose to their employer any compensation or benefits received from clients or others that could create a conflict of interest.B. Only disclose compensation from clients, not from others.C. Only disclose compensation that exceeds a certain amount.D. No disclosure is required.

General5 MCQs

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

A. Supervisors do not need to have procedures in place.B. Must have reasonable procedures in place to detect and prevent violations by persons under their supervision.C. Only need to respond to violations after they are reported.D. Only need to have procedures for compliance with the Code, not other laws.

7. What does Standard IV(A) Loyalty require regarding competition with the employer?

A. Can compete with their employer as long as it is not illegal.B. Can engage in activities that could harm their employer's business if they are disclosed.C. Must act for the benefit of their employer and not compete with their employer or harm their employer's business.D. Can compete with their employer if they do not use employer resources.

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

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

9. What does Standard IV(C) Responsibilities of Supervisors require regarding supervision?

A. Exercise reasonable supervision over subordinates to ensure compliance.B. Supervisors are not responsible for the compliance of their subordinates.C. Only need to supervise subordinates who are involved in client-facing activities.D. Only need to ensure compliance with the Code, not other laws.

10. What does Standard IV(A) Loyalty prohibit regarding solicitation?

A. Can solicit clients from the employer if they are not using employer resources.B. Cannot solicit clients or employees away from the employer.C. Can solicit clients from the employer if they have been with the employer for less than a year.D. Can solicit clients from the employer if they disclose it.

📋 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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