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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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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：
4 ?$ I+ \- d4 o: `1 t/ g1.《伦理道德与专业准则 Ethical and Professional Standards》
% \) e( n8 H& ^* Z3 k" n. D2.《数量方法 Quantitative Method 》
, X$ t$ ?, ^' _ J6 u3.《经济学 Economics》
3 l5 z# }3 w6 K- f2 D4 i0 V( l7 V4.《财务报表分析 Financial Reporting and Analysis》& y4 Y. S0 q4 E5 R' f0 G
5.《公司金融 Corporate Finance》! p" h# {* b1 y5 e& ?( }6 n0 n+ w
6.《权益类证券产品 Equity Investment》/ \7 u9 k$ Q! K
7.《固定收益产品 Fixed Income》3 p6 D h, P' k
8.《金融衍生产品 Derivative Investments》8 s# q% U% K1 X# s
9.《另类投资 Alternative Investments》! [: W, k2 s# V$ z v: x
10.《投资组合管理和投资业绩报告 Portfolio Management and Wealth Planning Total》$ X* Z" M/ L! |4 G
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$ l- f$ ] A+ O3 A; x: m' Y# O第2题：
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J: G6 `7 y8 t7 T9 w8 h1 ]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? 6 y7 l2 q ~6 J [1 z
A. Country A
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C. Country C0 W6 C* i- _& f1 B; G! k) v
& Y9 \' s/ `* L% ?" f答案登录后回复可见：* w9 m) J) ?; _9 h* p
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发表于 2015-7-22 09:30:00
