【内部资料】高顿财经-CFA Level1-阶段测试30题-伦理道德与专业准则-Q1(含答案)

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【内部资料】高顿财经-CFA Level1-阶段测试30题-伦理道德与专业准则-Q1(含答案详解)
% H; M, l6 `" C8 r' n! k! K* N0 l这可是内部资料哦，大家快来~

8 Z( H* m* Q2 \整套阶段测试题包含10个类别，每个类别30题，其中财务报表分析分为AB卷，各30题，全部题目是330题，全都含答案详解：
7 t" t) H5 K3 {  z2 Q3 u7 d: Q1.《伦理道德与专业准则 Ethical and Professional Standards》
2.《数量方法 Quantitative Method 》
3.《经济学 Economics》
5 f9 o. ~. D: U, U$ ?# ]. i: s3 H4.《财务报表分析 Financial Reporting and Analysis》
! _5 ~! \7 C2 b5.《公司金融 Corporate Finance》
# n& x, |/ _& F, h, A6.《权益类证券产品 Equity Investment》
7 [4 T: [. U" ]7 s7 t5 r+ h" H" {7.《固定收益产品 Fixed Income》
# q+ c, L5 h0 v2 |% }9 w6 N8.《金融衍生产品 Derivative Investments》
9.《另类投资 Alternative Investments》
2 L& H4 h4 P9 p* x; m10.《投资组合管理和投资业绩报告 Portfolio Management and Wealth Planning Total》

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第1题：

1 W6 w6 T; M1 s0 f1. Holly Baker, CFA is explaining the CFA Institute Code of Ethics to a client. Which of the following statements could Baker make to most likely reflect disciplinary sanctions the CFA Institute may impose? Sanctions include:
( G2 G1 r" {8 r/ LA. fines for violations
5 ~7 V: F8 y; bB. revocation of membership
C. banishment from the industry

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Curtain

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