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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-Q3(含答案)
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; z" \) g3 N& E' k' `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：+ N+ \1 {$ a4 d
1.《伦理道德与专业准则 Ethical and Professional Standards》! v2 ^: H) H: V1 f. o
2.《数量方法 Quantitative Method 》
& e1 T1 l" _% A' r0 H: D6 a3.《经济学 Economics》
/ i0 E* Z4 U# Z& v# A8 H4.《财务报表分析 Financial Reporting and Analysis》3 `+ [; g$ q$ o9 \8 X, ]- x
5.《公司金融 Corporate Finance》: v& ^. M1 P, W" d4 H6 S
6.《权益类证券产品 Equity Investment》
0 u/ ~) `& V- M4 l* V7 j7.《固定收益产品 Fixed Income》
/ v8 r4 G) K, o& U) s3 f8.《金融衍生产品 Derivative Investments》; a) Y3 M6 F4 ^, n7 P o
9.《另类投资 Alternative Investments》. b0 I6 M" }* d
10.《投资组合管理和投资业绩报告 Portfolio Management and Wealth Planning Total》
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* i" h1 P" @3 r# M' m第3题：
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3. Jimmy Lee, CFA, is an investment banker in a country with strict confidentiality laws. He is working on an acquisition for Panda Mining Co. (PMC). While performing due diligence, Lee notices that PMC has a number of questionable offshore partnerships. He investigates the legality of the partnerships and finds evidence of illegal activity. According to the Standards of Professional Conduct, Lee’s best course of action would be to:
; w, I& @* V# Y& A5 \A. alert CFA Institute. T' l3 o# p' _( `0 z6 [
B. consult outside counsel$ w5 d z. d7 `4 y% J0 p' [
C. notify regulatory authorities
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答案登录后回复可见：
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发表于 2015-7-23 09:30:01
