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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)6 q5 o: ~2 k$ a6 ]# \0 R3 q
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：- L) o% R& _4 G1 r8 ?( x
1.《伦理道德与专业准则 Ethical and Professional Standards》. D8 X L1 z- d% R# J. c& x8 \
2.《数量方法 Quantitative Method 》
% n+ X; X) n1 x$ I4 x3.《经济学 Economics》
5 e' Z& }% k! E) Z; j$ U4.《财务报表分析 Financial Reporting and Analysis》# S( k5 y# I+ h! y0 r
5.《公司金融 Corporate Finance》
8 G+ z; T5 r8 H4 i% w. }. ~' g. x6.《权益类证券产品 Equity Investment》0 ?* U4 v6 S8 f8 y+ c
7.《固定收益产品 Fixed Income》
6 P2 o3 L! P$ v7 O7 R+ F' s9 G" j8.《金融衍生产品 Derivative Investments》0 A" o- W6 C8 c7 @1 A( [ Z d; e* C
9.《另类投资 Alternative Investments》/ j8 m8 P! f6 Q. ~
10.《投资组合管理和投资业绩报告 Portfolio Management and Wealth Planning Total》
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第2题：
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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?
& O/ B1 b+ t: \7 G5 |8 X- S0 QA. Country A
6 I |7 O) n. ?" f8 @6 qB. Country B& \+ ?/ Y+ l( F! f
C. Country C
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答案登录后回复可见：5 v2 x. [ f m+ `$ h6 c+ q9 O
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发表于 2015-7-22 09:30:00
