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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)
# f* B/ @# u& M& z: T: y- R, P这可是内部资料哦，大家快来~
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9 V9 z! J- O9 l9 E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：
: _& `# n/ M5 q1.《伦理道德与专业准则 Ethical and Professional Standards》3 X9 H7 z' _8 V3 p: k0 s
2.《数量方法 Quantitative Method 》
( j" g+ V; v! X; b' ]3.《经济学 Economics》, u) s0 q1 h) s3 m
4.《财务报表分析 Financial Reporting and Analysis》
( X" [6 d& ]; T/ P0 I/ G. b4 w5.《公司金融 Corporate Finance》
4 S/ G6 H2 k2 B' C$ `9 X/ ~/ V1 R6.《权益类证券产品 Equity Investment》
, I* v) N- z) a: L2 Y% H, B7.《固定收益产品 Fixed Income》
# Q1 l1 z4 D: q+ ^8.《金融衍生产品 Derivative Investments》
( G4 O5 H2 Y; U7 R9.《另类投资 Alternative Investments》0 y' b ]8 M. z
10.《投资组合管理和投资业绩报告 Portfolio Management and Wealth Planning Total》
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9 }) v" J7 z- W' w8 D第2题：
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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?
3 N" Q5 w1 [' D% @5 k$ k- N$ i7 CA. Country A: m$ v" t9 y8 P/ v+ f
B. Country B
4 R7 p7 L" A e1 u6 J6 M5 JC. Country C
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发表于 2015-7-22 09:30:00
