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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-Q12(含答案)
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7 M& ^9 ^$ W; f" Z8 N2 K3 b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：
/ }) h8 F: r/ S2 T' _1.《伦理道德与专业准则 Ethical and Professional Standards》
- w' p# X, m) N& o2.《数量方法 Quantitative Method 》
. ^6 [% [& U0 H2 m. i+ k3.《经济学 Economics》5 q4 b. H* j, e g2 S6 Q
4.《财务报表分析 Financial Reporting and Analysis》
7 ^, D6 _# z3 B" h/ f5 [" ?5.《公司金融 Corporate Finance》
* ~; e) Q& D9 r4 F4 w+ L7 Q. x$ I% \6.《权益类证券产品 Equity Investment》
. U3 l# A0 a+ _' f- K {0 o7.《固定收益产品 Fixed Income》0 G2 H0 w- N+ p) `% _0 C+ z
8.《金融衍生产品 Derivative Investments》
. @6 }7 p- U0 ]0 t0 v- E9 p9.《另类投资 Alternative Investments》
/ r+ P7 \# ?' n9 }; y: T10.《投资组合管理和投资业绩报告 Portfolio Management and Wealth Planning Total》
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0 D( }9 X# k' W1 K第12题：% b- [# K& d& ^! M. P, `
5 W6 z5 e/ N: o G) ~8 T12. Carla Scott, CFA, is a portfolio manager for a company that manages investment accounts for wealthy individuals. Scott has no beneficial interest in any of the fee-paying accounts she manages, including her uncle’s account. When shares in initial public offerings (IPOs) become available, Scott first allocates shares to all her other clients for whom the investment is appropriate; only if shares are still available does she purchase shares in her uncle’s account, if the issue is appropriate for him. Scott provides each of her clients with full disclosure of her allocation procedures and has received each client’s verbal consent to her allocation procedures. According to the Standards of Practice Handbook, does Scott’s method of allocating oversubscribed IPOs violate any CFA Institute Standards of Professional Conduct?, ~$ |- S0 u9 v8 w+ Y. l; T) e
A. No! t5 k& d Y1 z, R$ \0 @
B. Yes, because she has breached her duty to her uncle
( p6 X3 q, L/ |' G1 a* Y2 ]7 H' ~C. Yes, because she has not precleared and reported her Uncle’s transactions; e- j0 u) g `0 N
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发表于 2015-7-27 09:30:07
