16. The Professional Conduct division of the CFA Institute is responsible for enforcing testing policies for:
The CIPM Program only.
The CFA Program only.
The CFA Institute education programs and the CIPM program.
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17. Who maintains oversight and responsibility for the Professional Conduct Program?
The Disciplinary Review Committee.
The CFA Institute Board of Governors.
The Disciplinary Review Committee and the CFA Institute Board of Governors
18. A proctor files a report about a candidate who sat for the Level III exam, who he
believes was looking sideways multiple times during the exam and did not stop
writing when asked to. A professional conduct inquiry is initiated. What is the
the course of action the Professional Conduct staff investigating the matter is most
likely to take as soon as the inquiry is initiated?
Ask the member or candidate for a written explanation.
Impose sanctions on the candidate.
The investigating panel believes the offense is not serious and concludes
without asking for a written explanation, and does not impose a disciplinary
19. Which of the following is not the result of a sanction imposed by the CFA Institute?
Revocation of the CFA charter.
Termination of employment if the firm claims compliance with the Code and
20. According to the CFA Institute Code of Ethics, which one of the following is
incorrect? Members and Candidates must:
act with integrity, competence, diligence, and respect and in an ethical manner
with the public, clients, prospective clients, employers, employees and other
participants in the global capital markets.
place the integrity of the investment profession and the interests of clients at
par with their own interests.
use reasonable care and exercise independent professional judgment when
conducting investment analysis, making investment recommendations, taking
investment actions and engaging in other professional activities.
UGC NET PAPER 1
UGC NET Management
UGC NET COMPUTER SCIENCE
UGC NET COMMERCE
GATE COMPUTER SCIENCE
CFA Level 1
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