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【内部资料】高顿财经-2015CFA Level1-阶段测试30题-伦理道德与专业准则-Q6(含答案)+ {$ I# q% s% V
这可是内部资料哦，大家快来~ - N% c7 `4 S$ O3 C6 E- n- I
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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：' o( S+ E/ O+ N. i% i9 f! w( q) w
1.《伦理道德与专业准则 Ethical and Professional Standards》
; Y' b+ Y. O7 g2 w$ \. O z# T2.《数量方法 Quantitative Method 》+ L$ ^, h/ O9 K
3.《经济学 Economics》5 p+ ^2 n7 R+ ~: a
4.《财务报表分析 Financial Reporting and Analysis》
! F% A6 r( z; Z& z5.《公司金融 Corporate Finance》: d, w% c4 X! }* j+ r2 z. ?+ M: l
6.《权益类证券产品 Equity Investment》% f& G4 U0 u# I% J
7.《固定收益产品 Fixed Income》, W' E: ]" K/ h, z4 ]
8.《金融衍生产品 Derivative Investments》
. R2 ^! u9 k+ @6 A) l9.《另类投资 Alternative Investments》
+ a5 q! L' x9 x, d10.《投资组合管理和投资业绩报告 Portfolio Management and Wealth Planning Total》
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第6题：/ {) d- f8 ?% B
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6. Bryan Barrett, CFA has an investment advisory service providing advice on gold and other commodities to several large retail banks. Barrett advertises his services in widely read publications to broaden his business to include retail clients. Because the client base for the institutions that Barrett serves is large, he is comfortable stating in the ads that thousands of his clients have benefited from his advice. Does Barrett's advertisement most likely violate any CFA Institute Standards of Professional Conduct?
4 U1 }9 v5 H2 N2 z: d% mA. No, j" j: I) L) X; H
B. Yes, related to Misrepresentation
$ q' W# C, h/ U1 {) ~! V5 @, gC. Yes, related to Communication with Clients5 Y) z" N% `6 X' O* g- ~
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发表于 2015-7-24 09:30:00
