|
|
【内部资料】高顿财经-CFA Level1-阶段测试30题-伦理道德与专业准则-Q2(含答案)
, p* D; z `& F H; R& M这可是内部资料哦，大家快来~ - S) m! Q) x9 D. ?
' V W6 A/ t3 L+ F
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，全都含答案和详解：
& R9 O7 B# Q* |) ^5 p* {1.《伦理道德与专业准则 Ethical and Professional Standards》! u. L2 g2 v) M+ }/ z6 Y
2.《数量方法 Quantitative Method 》
' ]5 T' S9 X8 \$ f% a( W3.《经济学 Economics》0 i# k+ C; h# m: O1 J6 X& g
4.《财务报表分析 Financial Reporting and Analysis》3 {- Z+ V% I1 P5 [# |7 \
5.《公司金融 Corporate Finance》
9 r/ J1 }( F$ X0 c' U7 w8 ?6.《权益类证券产品 Equity Investment》
9 L' T" D8 O) L8 |2 T) `- }7.《固定收益产品 Fixed Income》
+ H C; ^: q" y* c" i8 U+ l3 S W+ x8.《金融衍生产品 Derivative Investments》
9 |$ c& J! T% Q+ p7 ~) z/ n3 u9.《另类投资 Alternative Investments》
( z7 Y1 n! b: c$ u$ F10.《投资组合管理和投资业绩报告 Portfolio Management and Wealth Planning Total》
1 V. _0 X v" o8 I, ^9 r2 \0 j$ m# s1 a1 g
————————————————————————————————————————————————
3 g6 S; u6 r6 I' [' Q! M" ?* U1 u' R% f2 g$ s
第2题：9 {. q% ?, B( c8 R# |2 _
$ D' ?" W# K3 {: w6 ?0 I
2. Sato Kashingaki, CFA, is a financial advisor who practices in multiple jurisdictions. In his resident country, Country A, he is not required by law to hold a financial advisors license but he is required to uphold a fiduciary duty to his clients. In Country B, authorities require him to hold a financial advisors license but he is not expected to uphold a fiduciary duty to his clients. In Country C, authorities require both a financial advisors license and an asset management license in addition to upholding a fiduciary responsibility towards clients. In which of the three countries does Kashangaki have the duty to adhere to the CFA Code and Standards over local laws? ( p( p+ C0 m$ F
A. Country A8 y x3 B- ?- O* i
B. Country B
6 c6 a( w2 ]" X8 V. h0 Q. CC. Country C
4 V% a: i0 Y. e9 e9 s
; I/ d- V8 T* q答案登录后回复可见：
: m6 W& |4 O! g; w+ K2 K/ ^- K- n6 I$ T- n' [
|
|
[复制链接]
发表于 2015-7-22 09:30:00
