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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)
0 X1 `, ]. _, x# n4 L& q这可是内部资料哦，大家快来~
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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：0 M2 U- f0 M/ ~& U) ~7 J
1.《伦理道德与专业准则 Ethical and Professional Standards》' C$ K1 |% M; v, q, e) E! o A* D
2.《数量方法 Quantitative Method 》
/ ` Z, f8 X$ \( Q, G6 y; z0 X5 _3.《经济学 Economics》
' k0 Z1 J/ x4 A4.《财务报表分析 Financial Reporting and Analysis》
3 } v3 v0 t( d: X$ u% T5.《公司金融 Corporate Finance》3 _- P$ {' `3 b
6.《权益类证券产品 Equity Investment》
) j, K. t+ r) h0 \1 Q7.《固定收益产品 Fixed Income》
6 ^1 k0 R( C M1 Q- r8 @8 ]" {8.《金融衍生产品 Derivative Investments》4 S- `' I$ ?' f; d- v
9.《另类投资 Alternative Investments》
3 c* Z O$ y5 z& {6 x& {, x10.《投资组合管理和投资业绩报告 Portfolio Management and Wealth Planning Total》1 r' m `1 _+ j/ t; [: o3 M
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8 f6 U( x( x9 Z& N第2题：
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, Z7 @% z; Q I5 U7 I$ H/ q: d; c5 C2. 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? 8 G! v# x* u0 B3 n, K+ E) D
A. Country A
W4 R: B% c4 kB. Country B
' U/ F- |9 s6 m2 X0 q- sC. Country C
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" M# {7 X( n: N- u答案登录后回复可见：& f M0 l6 ? C; m; Y
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发表于 2015-7-22 09:30:00
