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高顿CFA - L1 - 阶段测试30题 - Ethics - Q21 (含答案详解)
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- d, a J4 t( k4 z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：
/ P' h4 P9 Y& r0 S e0 i! Q$ X1.《伦理道德与专业准则 Ethical and Professional Standards》
- w8 z' }* d9 G2 t2.《数量方法 Quantitative Method 》, H+ O$ d" g$ o1 J' q! v' \
3.《经济学 Economics》
6 A) Y Y$ _8 K. n0 ]+ W0 d4.《财务报表分析 Financial Reporting and Analysis》: l" K/ W' K8 {- \8 B0 f
5.《公司金融 Corporate Finance》
1 ~- l2 P7 b1 q J0 t$ J6.《权益类证券产品 Equity Investment》
1 [. F& z" i+ H; l7.《固定收益产品 Fixed Income》& A+ B; `. B$ i, j7 x, F8 c# E
8.《金融衍生产品 Derivative Investments》2 _, T9 {( u4 n- L/ Q0 k
9.《另类投资 Alternative Investments》
$ X; p( q% m7 C' C* z10.《投资组合管理和投资业绩报告 Portfolio Management and Wealth Planning Total》8 d; v1 q$ I" w: {( F0 W
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( y: S3 Q' z/ m# z4 W" V) n7 u第21题：# o w$ Q* C3 H
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21. William Wong, CFA, is an equity analyst with Hayswick Securities. Based on his fundamental analysis, Wong concludes the stock of a company he follows, Nolvec Inc., is substantially undervalued and will experience a large price increase. He delays revising his recommendation on the stock from “hold” to “buy” to allow his brother to buy shares at a lower price. Wong is least likely to have violated the CFA Institute Standards of Professional Conduct related to:& x, P& C v/ `: t* `
A. duty to clients" {: @; L! ]/ X. r1 B* j
B. reasonable basis, e3 n: Q- v j; K- L2 E& Q2 Q- P' L
C. priority of transactions
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答案和详解，登录后回复可见：
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5 \, I' D" k0 }' _ 大家如果对这题有疑问或者其他的问题也可以跟帖回复，论坛特邀老师将会在线回答哦! |
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发表于 2015-8-1 09:00:04
