高顿CFA - L1 - 阶段测试30题 - Ethics - Q19 (含答案详解)

catherine · 发表于 2015-7-31 09:00:01

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高顿CFA - L1 - 阶段测试30题 - Ethics - Q19 (含答案详解), e. \+ P; w& p7 K# Q
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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，全都含答案详解：
1.《伦理道德与专业准则 Ethical and Professional Standards》
2.《数量方法 Quantitative Method 》
3.《经济学 Economics》
4.《财务报表分析 Financial Reporting and Analysis》
5.《公司金融 Corporate Finance》
6.《权益类证券产品 Equity Investment》
7.《固定收益产品 Fixed Income》
8.《金融衍生产品 Derivative Investments》
9.《另类投资 Alternative Investments》
10.《投资组合管理和投资业绩报告 Portfolio Management and Wealth Planning Total》

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第19题：

19. Eileen Fisher, CFA has been a supervisory analyst at SL Advisors for the past ten years. Recently, one of her analysts was found to be in violation of the CFA Institute Standards of Professional Conduct. Fisher has placed limits on the analyst's activities and is now monitoring all of his investment activities. Although SL did not have any compliance procedures up to this point, to avoid future violations, Fischer has put in place procedures exceeding industry standards. Did Fisher most likely violate any CFA Institute Standards of Professional Conduct?
A. Yes
B. No, because she has taken steps to ensure the violations will not be repeated by the analyst
C. No, because she is taking steps to implement compliance procedures that are more than adequate

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