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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：
1 X6 ]4 v! ~, R) w1.《伦理道德与专业准则 Ethical and Professional Standards》, L% g o. ^0 |# z$ [
2.《数量方法 Quantitative Method 》) S# _( `, A5 v& w" ^# @1 I' ?
3.《经济学 Economics》
# }& [- j- `& E0 C) `4.《财务报表分析 Financial Reporting and Analysis》" g7 l7 k7 \9 B/ H; @
5.《公司金融 Corporate Finance》( Z( B: V/ O7 r" V8 b
6.《权益类证券产品 Equity Investment》6 M7 R7 R- u' r0 I2 }' z+ G) x4 N
7.《固定收益产品 Fixed Income》
& x- i0 b" }$ I0 e5 m1 n+ A) w1 n8 Y8.《金融衍生产品 Derivative Investments》
4 }& J8 A+ c/ r' G% ]4 f0 X9 d' X9 o9.《另类投资 Alternative Investments》1 N6 |9 ~3 D3 x: L$ t
10.《投资组合管理和投资业绩报告 Portfolio Management and Wealth Planning Total》; m- s! i6 b6 t9 ]% F, g
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第2题：/ k) b5 s; f9 ?
4 d, P0 z7 E7 X6 y4 z( s* r5 R9 u2. 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?
1 q, A! ~& L# W+ O) DA. Country A
) A/ v3 q5 R3 `5 T" M# xB. Country B
% `# ~# \ q* z7 `: S$ Z2 D BC. Country C
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7 K/ \- ^, Z ?: A% o0 b9 s& ?答案登录后回复可见： z6 E% H: Y* c1 p
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发表于 2015-7-22 09:30:00
