高顿CFA - L1 - 阶段测试30题 - Ethics - Q27 (含答案详解)
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% u, Y2 O" a5 P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：0 _& o% c. f% G0 b7 a
1.《伦理道德与专业准则 Ethical and Professional Standards》' f, s, v; d$ M1 d9 Q, w: t
2.《数量方法 Quantitative Method 》+ C f8 X i3 \( Z
3.《经济学 Economics》( r+ w8 L' z% r3 y3 O# G( j% s
4.《财务报表分析 Financial Reporting and Analysis》
' z2 n) u7 g8 h% Q0 f" } t5.《公司金融 Corporate Finance》# e- g) F5 Q! p, {6 b! K. l, u
6.《权益类证券产品 Equity Investment》+ C) t( l7 C; D( j" D% w
7.《固定收益产品 Fixed Income》
& g5 }4 l3 v k- Q8.《金融衍生产品 Derivative Investments》
8 S' q( [5 \- ]' Y- k( [6 u* Y9 u9.《另类投资 Alternative Investments》1 D9 I( v1 w) @% U' B8 T4 C
10.《投资组合管理和投资业绩报告 Portfolio Management and Wealth Planning Total》# X5 r$ k" s: e
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+ u5 D; o/ ]! }( k7 L% { t: D第27题：
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27. Teresa Avila, CFA is a micro cap investment analyst at a hedge fund. The fund requires Avila to hold any securities she recommends for the fund in her own account as well. Because Avila has such a small account, whenever she trades for her own portfolio she combines the transactions with those of the hedge fund so she is sure to have her account aligned with the fund. Has Avila most likely violated any CFA Institute Standards of Professional Conduct? A. No B. Yes, related to Misconduct C. Yes, related to Priority of Transactions / C9 i4 c3 o3 h0 d
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发表于 2015-8-4 09:00:02
