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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)7 a3 w! p4 Y4 s9 l8 f5 F! C* X4 h3 d
这可是内部资料哦，大家快来~
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7 M0 Q+ i. q) s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 R) T: S0 ?0 @+ q# y* z1.《伦理道德与专业准则 Ethical and Professional Standards》
% A, [2 k. N6 q2.《数量方法 Quantitative Method 》9 n& }$ d4 H) Y
3.《经济学 Economics》
_: U+ K% D& N3 u- }4 F) ~4.《财务报表分析 Financial Reporting and Analysis》
( J4 u+ ?( @4 c8 E) J* ?( t5.《公司金融 Corporate Finance》. I' v8 H6 c5 P3 X" K4 ? K
6.《权益类证券产品 Equity Investment》: n/ x3 U. Z$ ]. S7 x# W9 c
7.《固定收益产品 Fixed Income》
: H& i* d7 q& Z \' W6 E8.《金融衍生产品 Derivative Investments》' \' i7 C& U; n$ g6 ~8 q
9.《另类投资 Alternative Investments》9 i+ W1 g' V- ~4 t1 M; C6 N
10.《投资组合管理和投资业绩报告 Portfolio Management and Wealth Planning Total》
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2 a) O) h1 A1 a2 H2 A H' f第2题：
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3 f& d) z( r2 ~% |( T$ j2. 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? 3 _. i. ?- l8 \! L: C/ j
A. Country A
+ r$ T, y% B8 Q: k1 }1 CB. Country B
. ^; \" `+ f' v7 W; |# X6 v0 CC. Country C( ?! e$ i0 j3 [ T; s9 j
) E# u: B2 ?4 M9 H5 Y+ @7 x答案登录后回复可见： L. ?5 @) G" X. d3 A4 Z$ j" m2 k
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发表于 2015-7-22 09:30:00
