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【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)
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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，全都含答案和详解：
6 O8 n. r6 K* {+ n' A1.《伦理道德与专业准则 Ethical and Professional Standards》
: I; ^0 ~/ h8 t# h2.《数量方法 Quantitative Method 》, i! H+ |! d. L% I7 W+ ?8 [7 ?" }
3.《经济学 Economics》
4 o6 c: j8 t! o. `8 d4.《财务报表分析 Financial Reporting and Analysis》
9 `( L% c& q: p6 G. a8 e5.《公司金融 Corporate Finance》. A# v1 `) p4 L% w
6.《权益类证券产品 Equity Investment》
; G$ v! D+ p% \9 Z$ ]$ }7.《固定收益产品 Fixed Income》
W* G8 P! P$ _! b+ R c! `: \8.《金融衍生产品 Derivative Investments》, q/ h, [5 E% j/ \7 X4 y; M7 X& l
9.《另类投资 Alternative Investments》
& X0 O0 f2 k. j8 m10.《投资组合管理和投资业绩报告 Portfolio Management and Wealth Planning Total》
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" C9 r* e$ U! _- ~2 G- e6 E第2题：7 M9 Z$ F5 M2 H' E4 f
7 M+ [2 D" y8 m( q2. 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?
, G$ j2 _4 t5 a9 OA. Country A
% b J4 Q4 Z- J/ r3 O/ c( XB. Country B
; H+ U2 s! M2 d2 M3 F9 i! `C. Country C, q! i" [" X/ V* F/ C
% z8 ^$ Q( S$ o" a答案登录后回复可见：
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发表于 2015-7-22 09:30:00
