1, Members and candidates must: A. endorse the principles of sound corporate governance. B. foster the expansion of regulatory oversight in the investment industry. C. strive to maintain and improve the competence of other investment Professionals. 2, A covered person might be excused for assisting in a violation of applicable regulations if she: A. did not know the regulations. B. knew the regulations but did not believe they applied. C. knew the regulations but was unaware a violation was taking place. 3, A covered person in an advisory relationship should inquire about the client’s total portfolio in order to: A. determine the client’s level of investment experience. B. estimate the client’s needs for current income over the planning horizon. C. avoid contributing to an undue concentration of risk in the client’s assets. 4, Investment analyses and recommendations must be based upon: A. certainty, not scenarios or projections. B. original research, not secondary sources. C. reliable, up-to-date evidence, not prejudgments.
All C’s
1 A im more concerend with my own competency thansk 2 C 3C 4 C
all C right
c all, reading 3, just finished 74 eoc from book 1 today (3rd time), next to AM half of a practice exam so for today I know Ethics
yall right …1 is also C…FML
I’m behind…run to catch up.
Guessed All C except for 3 (B)
All C.
all C
All C – CFAI answers.