【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)

catherine · 发表于 2015-7-22 09:30:00

【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) y L b) [7 n, b$ F6 d
这可是内部资料哦，大家快来~

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：
1.《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》
4.《财务报表分析 Financial Reporting and Analysis》
5.《公司金融 Corporate Finance》
6.《权益类证券产品 Equity Investment》
7.《固定收益产品 Fixed Income》
8.《金融衍生产品 Derivative Investments》
9.《另类投资 Alternative Investments》
10.《投资组合管理和投资业绩报告 Portfolio Management and Wealth Planning Total》

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第2题：

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?
A. Country A
B. Country B
C. Country C

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我爱CFA · 发表于 2015-7-28 12:00:16

THANK YOU VERY MUCH!

banish · 发表于 2015-7-28 16:01:07

THANK YOU VERY MUCH!

老农民° · 发表于 2015-7-28 21:22:56

THANKS!

Jude · 发表于 2015-9-16 12:16:41

thanks 楼主~

jasonjlee · 发表于 2015-10-28 16:28:34

thanks thanks thanks

britneywolf · 发表于 2015-11-1 12:15:42

xiexie分享~~同为12月考友！！

hrook · 发表于 2016-4-18 12:37:36

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licinia · 发表于 2016-11-13 17:32:00

谢谢楼主！很实用的贴子！么么哒！

nigulahei · 发表于 2016-11-15 10:16:19

THANK YOU VERY MUCH!

[Level 1] 【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)