What is the foundation of ethical behavior in finance?
Correct!
Wrong!
Integrity builds trust and credibility.
Why is client confidentiality important?
Correct!
Wrong!
It protects sensitive financial information.
Which of the following violates professional conduct?
Correct!
Wrong!
Misrepresenting products can mislead clients.
What should a professional do when facing a conflict of interest?
Correct!
Wrong!
Disclosure is key to maintaining ethical standards.
Which code guides professional behavior?
Correct!
Wrong!
Codes of ethics ensure professionals act responsibly.
How can professionals maintain competence?
Correct!
Wrong!
Continuing education keeps knowledge current.
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What is the result of ethical misconduct?
Correct!
Wrong!
It can lead to penalties, loss of license, and reputational damage.
What is the duty of loyalty in financial services?
Correct!
Wrong!
Putting the client’s best interests above all.
Why should professionals avoid misleading claims?
Correct!
Wrong!
Clients rely on accurate information for financial decisions.