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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* `+ W8 {. v- F
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：
% h. X) i( t- U6 G) q1.《伦理道德与专业准则 Ethical and Professional Standards》8 F+ `6 p( V. c! ?1 |
2.《数量方法 Quantitative Method 》
7 s6 D# U8 I; r3.《经济学 Economics》' i- ]" \/ N8 ]2 G$ o7 m% ?
4.《财务报表分析 Financial Reporting and Analysis》 M* {% L1 m }: c1 k2 Q
5.《公司金融 Corporate Finance》 @# F$ k8 s+ Z
6.《权益类证券产品 Equity Investment》/ z; Y% P2 O& z2 ]9 e$ D9 d
7.《固定收益产品 Fixed Income》2 |; [2 t# O) ]- H
8.《金融衍生产品 Derivative Investments》
2 C# B" O q* s: r# @2 A# j n9.《另类投资 Alternative Investments》
% d5 p( n' J: D) a6 X1 t10.《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：$ t/ J. l$ U7 {" X1 l) n3 e- N6 s6 r
0 Q& y# K1 U, p* l2. 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?
. S; [6 ?3 _1 mA. Country A
+ d, g5 v% I$ K5 v- PB. Country B! n0 r" g) \0 A3 I
C. Country C/ t1 ]+ f8 k; u D' e; Z( e
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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
