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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)' x5 i& ?; x0 U) H' C; I! N
这可是内部资料哦，大家快来~
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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：
1 f! D0 I- C+ q+ g5 Y1.《伦理道德与专业准则 Ethical and Professional Standards》
) g6 m- s% z9 k: O8 O8 T$ O6 A2.《数量方法 Quantitative Method 》
1 h4 F5 _8 m+ ~4 ^; e: k+ u! G3.《经济学 Economics》% i0 s, \% s4 ]( R7 w
4.《财务报表分析 Financial Reporting and Analysis》& X2 A* Y! N4 q: ?- [
5.《公司金融 Corporate Finance》% G& ?4 ^' r7 o% W( Q* n! r% v
6.《权益类证券产品 Equity Investment》. a: Q# \% E5 J( i
7.《固定收益产品 Fixed Income》% Q& \8 O% e& f# z& f
8.《金融衍生产品 Derivative Investments》6 k# _! n: E$ d$ _' N* A6 H4 z7 S. i- o
9.《另类投资 Alternative Investments》; I& l" H2 [; B1 S7 I8 ^8 a" N
10.《投资组合管理和投资业绩报告 Portfolio Management and Wealth Planning Total》5 M R5 X1 \7 t1 _
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* h1 D9 y5 R$ f第2题：
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5 u$ d3 E3 F: d# n' k) r- _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? ; Q/ j9 k o/ O
A. Country A
9 `/ V: d' Z/ F1 c7 l$ gB. Country B4 n9 H2 q- {" \! u- d' d, D9 s( r
C. Country C9 y- Z* p7 }. C x# C) o1 ]
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答案登录后回复可见：
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发表于 2015-7-22 09:30:00
