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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-Q2(含答案)
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; u1 [+ \) \- J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，全都含答案和详解：/ \. [, \* t% k) E% U' @1 G
1.《伦理道德与专业准则 Ethical and Professional Standards》; S9 h' \0 [2 A8 K. z
2.《数量方法 Quantitative Method 》
9 F. U ~" f1 j8 q6 i8 T3.《经济学 Economics》
+ { j7 Z/ j& W4.《财务报表分析 Financial Reporting and Analysis》
9 N& Q3 _9 e9 k0 H5 c! A* S5.《公司金融 Corporate Finance》2 W1 h7 M/ B7 v( f" ?
6.《权益类证券产品 Equity Investment》8 g6 i8 T( }3 K) ?
7.《固定收益产品 Fixed Income》4 q# R) \- F1 z7 c9 r* k
8.《金融衍生产品 Derivative Investments》
0 f. _) P; M, [6 o1 {% o: ^9.《另类投资 Alternative Investments》
1 X+ n8 w- c; B _3 W10.《投资组合管理和投资业绩报告 Portfolio Management and Wealth Planning Total》
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2 e0 @1 R7 V: g) E3 ^2. Sato Kashingaki, CFA, is a financial advisor who practices in multiple jurisdictions. In his resident country, Country A, he is not required by law to hold a financial advisors license but he is required to uphold a fiduciary duty to his clients. In Country B, authorities require him to hold a financial advisors license but he is not expected to uphold a fiduciary duty to his clients. In Country C, authorities require both a financial advisors license and an asset management license in addition to upholding a fiduciary responsibility towards clients. In which of the three countries does Kashangaki have the duty to adhere to the CFA Code and Standards over local laws?
2 r9 N+ U& e* v$ h1 f5 yA. Country A
% o# t4 @, g% U8 c8 fB. Country B
5 s* ^3 {7 n: @1 |0 ^C. Country C, u* p( J7 J# ~7 f& F: |
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答案登录后回复可见：
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发表于 2015-7-22 09:30:00
