CFA 2026 Level I Ethics Investment Analysis Free Quiz 2

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CFA 2026 Level I Ethics Investment Analysis Free Quiz 2

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CFA 2026 Level I Ethics Investment Analysis Free Quiz 2

Practice CFA 2026 Level I Ethics MCQs from Investment Analysis. Get instant results with Explanation.

General5 MCQs

11. Under Standard V(C), who owns the records created by a member?

A. Records are the property of the member who created them.B. Members can take records when leaving the firm without consent.C. Records are the property of the firm and cannot be taken without consent.D. Records are the property of the client.

12. What does Standard V(A) require regarding the basis for investment actions?

A. Have a reasonable basis only for recommendations, not for actions.B. Base recommendations on second-hand information without verification.C. Have a reasonable basis only for analysis, not for recommendations.D. Have a reasonable and adequate basis for any analysis, recommendation, or action.

13. What does Standard V(B) require regarding the distinction between fact and opinion?

A. Distinguish between fact and opinion.B. Present opinions as if they were facts.C. Not identify opinions as opinions.D. Treat fact and opinion the same way.

14. What does Standard V(C) require regarding the scope of records?

A. Maintain records only for investment recommendations.B. Maintain records for analyses, recommendations, actions, and communications.C. Maintain records only for actions, not for communications.D. Maintain records only for analyses, not for recommendations.

15. What does Standard V(A) require regarding consideration of issues?

A. Ignore issues that are not relevant to the client.B. Only consider issues that support the recommendation.C. Make reasonable efforts to consider and address all pertinent issues.D. Rely on the analysis of others without considering the issues.

General5 MCQs

16. What does Standard V(B) require regarding changes to the investment process?

A. Disclose changes only if they are favorable to the client.B. Delay disclosure of changes until the next annual meeting.C. Do not disclose changes unless specifically asked.D. Promptly disclose any changes that might materially affect the investment process.

17. What does Standard V(A) require regarding the qualities of analysis?

A. Exercise diligence, independence, and thoroughness.B. Exercise diligence but not thoroughness.C. Exercise independence but not diligence.D. Exercise thoroughness only for recommendations.

18. What does Standard V(B) say about disclosing risks?

A. Disclose all risks, even those they are unaware of.B. Cannot be expected to disclose risks they are unaware of at the time.C. Should not disclose any risks to avoid liability.D. Are expected to disclose risks they are unaware of.

19. What is the recommended record retention period under Standard V(C) in the absence of regulatory requirements?

A. One yearB. Three yearsC. Seven yearsD. No retention is required

20. What does Standard V(A) require regarding the basis for investment analysis?

A. Base recommendations on personal opinion alone.B. Research is not required if the recommendation is for a well-known security.C. Rely on unverified information from third parties.D. Have a reasonable and adequate basis supported by appropriate research and investigation.

📋 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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