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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-Q9(含答案)
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% \0 a+ m; g, b2 Z/ `! }/ B! J; y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：
/ G+ d! }& n; q. I1.《伦理道德与专业准则 Ethical and Professional Standards》6 l7 k" Q1 b+ p+ Y
2.《数量方法 Quantitative Method 》2 }4 ]. d; b# l+ u5 d/ g
3.《经济学 Economics》8 l7 ?7 q& ~. @* a. O; t+ A! l( \
4.《财务报表分析 Financial Reporting and Analysis》% Y5 O' q* c a, B! Q
5.《公司金融 Corporate Finance》4 M/ Z8 o* h: Z R
6.《权益类证券产品 Equity Investment》9 L$ ^4 ]; Y/ I
7.《固定收益产品 Fixed Income》) O) ^/ Y( L# j2 {* B0 H
8.《金融衍生产品 Derivative Investments》
: J( n* ~8 o; M! }, F. h6 ^+ i9.《另类投资 Alternative Investments》
# ]( ^: D& S* q# S2 }: |5 I10.《投资组合管理和投资业绩报告 Portfolio Management and Wealth Planning Total》
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4 W' J3 y3 I- f! c0 H) m/ ?' G第9题：
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& H- ^9 j9 t, T& q9. Darden Crux, CFA, a portfolio manager at SWIFT Asset Management Ltd., (SWIFT) calls a friend to join him for dinner. The friend, a financial analyst at Cyber Kinetics (CK) declines the invitation and explains she is performing due diligence on Orca Electronics, a company CK is about to acquire. After the phone call, Crux searches the Internet for any news of the acquisition but finds nothing. Upon verifying Orca is on SWIFT’s approved stock list, Crux purchases Orca’s common stock and call options for selective SWIFT clients. Two weeks later, CK announces its intention to acquire Orca. The next day, Crux sells all of the Orca securities, giving the fund a profit of $3 million. What action should Crux most likely take to avoid violating any CFA Institute Standards of Professional Conduct?
' y r& u% U- t" F. ^A. Refuse to trade based on the information
- F, X# B% S. g/ v, C9 Y# EB. Purchase the stock and call options for all clients
8 P9 Z; a& t, r I+ x4 HC. Trade only after analyzing the stock diligently and thoroughly
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发表于 2015-7-26 09:30:01
